ADScanner for Advisers: Marketing + Portfolio Risk
Marketing review and portfolio risk checks in one low-cost tool
Small advisory firms often need two quick checks: is this marketing piece okay, and do client portfolios show concentration, drift, liquidity, or fee concerns? ADScanner covers both in every plan.
Common problems
- No budget yet for a full compliance workspace
- Portfolio reviews are manual and inconsistent
- Need documentation for supervision and annual-review files
How ADScanner helps
Marketing Rule review
Line-by-line findings under SEC Rule 206(4)-1, each rated high, medium, or low risk with the rule cited.
Portfolio Risk Scanner
Upload a holdings file to check single-position and top-5 concentration, sector overweights, IPS drift, liquidity, cash drag, and fees.
0–100 risk score
Each finding shows the threshold it was tested against, with a PDF report and saved history.
Upgrade path
Move to RegReview when you need registrations, calendars, annual reviews, and the full compliance program.
Rules referenced: SEC Rule 206(4)-1, FINRA 2210, and portfolio checks against your stated targets and common guideline thresholds.
ADScanner or RegReview: which do I need?
Choose ADScanner if your team mainly produces content. Choose RegReview if you run the compliance program.
| ADScanner | RegReview | |
|---|---|---|
| Main job | Publish and monitor regulated marketing; check portfolio risk | Run the full compliance program |
| Best for | Agencies, insurance agencies/IMOs, mortgage teams, marketing staff, small advisers | RIAs, broker-dealers, funds, and compliance officers |
| Marketing review | Unlimited reviews, Creator content studio, approval gate | Included as one workflow |
| Portfolio risk scans | Included in every plan | Available through add-ons |
| Registrations, calendars, annual review | Not included | Included |
FAQ
Is the portfolio risk score investment advice?
No. It's a rules-based check against thresholds and the targets you enter, to support your own review. ADScanner output is AI-assisted and educational. It is not legal advice, and a qualified person at your firm or your client's firm still approves final content.
Is there a free version?
Yes — a free public portfolio risk scan is available at adscanner.io/portfolio-risk-scanner.
Other ADScanner uses: Marketing Agencies · Insurance Agencies & IMOs · Mortgage Brokers & Lenders