AD/Risk Scanner 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 AD/Risk Scanner 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.
AD/Risk Scanner or RegReview: which do I need?
Choose AD/Risk Scanner for focused, risk-rated reviews. Choose RegReview for the compliance workspace, including marketing review. Life and annuity agencies can use RegReview for both operations and marketing; two subscriptions are not required.
| AD/Risk Scanner | RegReview | |
|---|---|---|
| Main job | Publish and monitor regulated marketing; check portfolio risk | Run the full compliance program |
| Best for | Agents and teams needing focused marketing or investment-portfolio reviews | Life/annuity agencies, RIAs, broker-dealers, funds, and compliance officers needing a full workspace |
| 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 |
| Insurance agency operations | Focused marketing pre-checks; not the agency operations workspace | Insurance workspace for licensing, appointments, CE, calendars and included marketing review; module fees depend on plan |
Portfolio risk checks concern investment holdings, not insurance underwriting or policy suitability. Firm review and required carrier approval remain essential. Optional FIN Group setup and human review support are scoped separately.
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 AD/Risk Scanner uses: Marketing Agencies · Insurance Agencies & IMOs · Mortgage Brokers & Lenders · Paraplanning Teams