ADScanner for Paraplanning Teams
Pre-check every client-facing draft before your adviser signs off
Paraplanners write a lot of client communication: follow-up emails, meeting recaps and plan summaries. ADScanner gives each draft a risk-rated first pass and adds a portfolio risk check to meeting prep, so advisers review cleaner work.
Common problems
- Follow-up emails and recaps go out with risky wording or missing disclosures
- Portfolio reviews for meeting prep are manual and inconsistent
- No dated record of what was checked before the adviser approved it
How ADScanner helps
Client draft pre-check
Scan follow-up emails, meeting recaps and plan summaries; each finding is rated high, medium, or low risk with the rule cited.
Portfolio Risk Scanner for meeting prep
Check concentration, IPS drift, liquidity and fees, then add the PDF report to the review packet.
Adviser approval stays in place
ADScanner is a first pass; the adviser reviews and approves everything sent to a client.
Dated review record
Saved scan history supports supervision and exam files.
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 ADScanner included with FIN Group's Fractional Paraplanning?
It's included in the Paraplanner + Agent package and available as an add-on to the other paraplanning packages. 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.
Does a clean scan mean the draft is approved?
No. A scan is a first pass, and the risk score is not investment advice. The adviser owns every recommendation and final approval. 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.
Other ADScanner uses: Marketing Agencies · Insurance Agencies & IMOs · Mortgage Brokers & Lenders · Advisers: Marketing + Portfolio Risk