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Compliance Intelligence Pricing

Pay per deliverable when you need one report. Or choose a monthly plan for ongoing compliance monitoring, dashboards, and bundled deliverables.

Path 1 — Recommended

Pay Per Deliverable

No subscription. No commitment. Pay only for what you need. Perfect for advisors with occasional or ad-hoc compliance needs.

⚖️

Regulatory Change Analysis

Deep-dive analysis of recent SEC/FINRA rule changes, their compliance implications for your practice, and recommended action steps.

  • Change summary & plain-English explanation
  • Impact assessment for RIAs
  • Recommended compliance actions
  • Timeline & effective dates
  • PDF-ready brief
⏱ 48 hours
$79/report
Order Now
🔍

Portfolio Compliance Check

AI-powered review of a client portfolio against current regulatory requirements, suitability standards, and concentration risk rules.

  • Suitability analysis
  • Concentration risk flags
  • Regulatory compliance summary
  • Remediation suggestions
  • Audit-ready documentation
⏱ 24 hours
$49/check
Order Now
📊

Advisor Compliance Scorecard

Comprehensive compliance health assessment for your practice — policies, procedures, disclosures, and regulatory readiness.

  • Practice-wide compliance audit
  • Gap analysis vs. current rules
  • Risk rating by category
  • Priority remediation roadmap
  • Executive summary for review
⏱ 72 hours
$149/scorecard
Order Now
📋

Client-Ready Market Brief

Professionally formatted market intelligence brief ready to send to clients — compliant language, balanced perspective, your branding.

  • Market overview (1–2 pages)
  • Compliant, balanced language
  • Plain-English explanations
  • White-label ready
  • PDF + email-ready format
⏱ 24 hours
$29/brief
Order Now
🏛️

Annual Compliance Review Package

Full-year compliance review: policies, Form ADV audit, supervisory procedures, and a 12-month regulatory calendar for your practice.

  • Form ADV review & recommendations
  • Supervisory procedures audit
  • 12-month regulatory calendar
  • Policy gap assessment
  • Audit preparation checklist
  • Quarterly check-in calls (2x)
⏱ 5 business days
$399/package
Order Now

Save with a Plan

Need ongoing compliance coverage? A plan bundles multiple deliverables with daily monitoring, dashboards, and priority alerts — all in one monthly rate.

Solo Advisor

Designed for independent RIAs and solo practitioners.

$149/month
Includes monitoring brief + portfolio check + 4 market briefs/mo
  • Weekly regulatory monitoring brief
  • Monthly portfolio compliance check
  • 4 client-ready market briefs/month
  • Email alerts for SEC/FINRA updates
  • Compliance FAQ knowledge base
  • Advisor dashboard access
Start Solo Plan
Most Popular

Team

For advisory teams, small RIA firms, and branch offices.

$349/month
Unlimited checks & briefs + daily monitoring for up to 5 advisors
  • Daily regulatory monitoring
  • Weekly compliance brief
  • Unlimited portfolio compliance checks
  • Unlimited client market briefs
  • Monthly advisor compliance scorecard
  • Priority alert system
  • Team dashboard (up to 5 advisors)
  • Compliance calendar
Start Team Plan
Enterprise

RIA Firm

Enterprise compliance intelligence for growing RIA firms.

$699/month
Includes annual review package + API access + unlimited team members
  • Everything in Team, plus:
  • Firm-wide compliance dashboard
  • Annual compliance review package (1x/yr)
  • Audit preparation assistance
  • API access for portfolio integration
  • Custom compliance reporting
  • Unlimited team members
  • Dedicated compliance concierge
  • SOC 2-ready audit trail
Start RIA Plan

Plan comparison

Feature Solo Advisor
$149/mo		 Team
$349/mo		 RIA Firm
$699/mo
Weekly regulatory brief ✓ ✓ ✓
Daily regulatory monitoring — ✓ ✓
Portfolio compliance checks 1/month Unlimited Unlimited
Client market briefs 4/month Unlimited Unlimited
Compliance scorecard — 1/month 1/month
Annual compliance review — — 1/year
Advisor dashboard ✓ ✓ ✓
Team members 1 Up to 5 Unlimited
API access — — ✓
Audit trail — — ✓
Compliance concierge — — ✓

Frequently asked questions

How are deliverables ordered?
Click "Order Now" on any deliverable. You'll be directed to our order intake form where you provide your practice details. Reports are typically delivered in 24–72 hours via email.
Are these reports compliance-reviewed by humans?
Yes. All AI-generated analysis is reviewed by our compliance team before delivery. We use AI to accelerate research, but a licensed compliance professional reviews every report.
Do reports hold up in a FINRA examination?
Compliance Scorecard and Annual Review reports are formatted as audit-ready documentation. They reference the applicable rules, identify gaps, and document your remediation steps.
Can I upgrade from pay-per-report to a plan?
Yes. You can start with individual deliverables and upgrade to a monthly plan at any time. Past deliverable purchases are applied as a credit toward your first month.
What regulatory bodies do you monitor?
We monitor SEC (rule releases, no-action letters, guidance, enforcement), FINRA (notices, rule changes), and state securities regulators for major jurisdictions.
Is client data required for the Portfolio Compliance Check?
We only need anonymized portfolio data (asset allocation, positions, account type). No client names, SSNs, or PII are required or accepted. All data is processed securely and not retained.

ⓘ Regulatory requirements change. Verify current requirements at SEC.gov before taking compliance action.

ⓘ Regulatory requirements change. Verify current requirements at FINRA.org before taking compliance action.

AI-generated analysis for registered professionals. Not compliance advice. Regulatory terms

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