FIN Portals
We take the repeatable parts of your manual compliance work — filings, reviews, onboarding, ad approvals — and run them as AI-driven workflows inside RegReview, InvestPrep, and ADScanner. The judgment calls stay with our fractional consulting team or your in-house staff.
Manual tasks → AI workflows → consulting team for the rest.
Watch the Overview
FIN Portals overview in under a minute.
From Manual Work to Managed Workflow
We're realistic: not every compliance task can — or should — be automated. Our platforms handle the repeatable, rules-driven work; our fractional consulting team owns the judgment calls. You get speed where it pays off and a human where it matters.
| Manual today | Workflow inside FIN Portals | Consulting team handles |
|---|---|---|
| Tracking filings in Excel & email | AI intake from CRD/website → auto-generated calendar & reminders (RegReview) | Filing strategy, regulator outreach, exam responses |
| Reviewing ads in email threads | Line-by-line AI scan with redlines & rewrites (ADScanner) | Final sign-off, marketing policy design, FINRA filings |
| Investor onboarding via PDFs | Branded portal, KYC/KYB, sub docs, audit trail (InvestPrep) | AML escalations, complex accreditation, side-letter review |
| Annual review built from scratch | AI-drafted Rule 206(4)-7 / 38a-1 reports with severity ratings (RegReview) | CCO redlines, board pack, remediation plan |
| Spreadsheet vendor & continuity logs | Vendor Risk + Continuity Hub modules with reminders (RegReview) | Risk-tier decisions, tabletop exercises |
Need help with the parts that aren't automated?
Bundle FIN Portals with a fractional CCO, fund admin, or due-diligence engagement. We run the workflows for you and step in on the judgment calls.
See Consulting + Platform BundlesOur Product Suite
Our consultants identify your regulatory requirements, then our AI platforms handle ongoing compliance workflows—with or without hands-on support.
RegReview
The AI-based operating and reporting system for compliance programs — used by in-house teams and consultants to run registrations, calendars, annual reviews, marketing review, audit prep, vendor due diligence, continuity, DOL rollover analysis, and communication archiving from one platform. Enter your CRD or upload documents and AI identifies every regulator and auto-generates your task calendar. Now in 8 industry versions: RIA, broker-dealer, insurance, real estate, private credit, law firms, CPA/accounting, and fintech & payments.
InvestPrep
The AI-based operating and reporting system for fund administration, investor reporting, and due diligence programs — used by fund admin teams, GPs, allocators, and consultants to run investor onboarding, KYC/KYB, capital calls, distributions, sub docs, and DDQs across four specialized modules (Fund Admin Pro, Due Diligence Pro, Capital Markets Pro, Credit Pro). Multi-jurisdiction support for US, EU, and Canada. Plans from $189/mo, 14-day free trial.
ADScanner
Upload marketing materials and get instant compliance analysis across SEC/FINRA (US) with state overlays (CA, NY, TX, FL), FCA (UK), CSA (Canada), and ASIC (Australia). Eight industry packs: financial services, insurance, mortgage, banking, healthcare, legal, tax & accounting, and real estate. Line-by-line analysis, risk detection, AI-revised compliant rewrites, and webhook integrations in seconds. Plans from $49/mo, 14-day free trial.
Editions, Portals & Jurisdictions
Each platform adapts to your industry, business model, and regulators. Multi-version bundles available—save 20% (Dual), 30% (Multi), or 40% (Full Access).
RegReview.io · 8 Industry Versions
RIA Review
SEC & State-registered investment advisers.
Brokerage Review
FINRA broker-dealers, U4/U5, Rule 3110.
Insurance Review
NAIC insurers, market conduct, licensing.
Real Estate Review
Mortgage lenders, NMLS, TRID, RESPA/TILA.
Private Credit Review
Private credit funds, covenants, disclosures.
Law Firm Review
ABA Model Rules, IOLTA, conflicts, bar compliance.
Accounting / CPA Review
AICPA SSTS, Circular 230, SQMS, PCAOB, WISP.
Fintech & Payments Review
BSA-AML, MTLs, CFPB/Reg E, OFAC, NYDFS 500.
InvestPrep.io · 4 Specialized Portals
Fund Admin Pro
Private & hedge funds, capital calls, waterfalls.
Due Diligence Pro
DDQ, ODD/IDD workflows, valuation review.
Capital Markets Pro
Broker-dealers, Reg D/S, placement pipeline.
Credit Pro
Loan origination, covenant tracking, risk.
ADScanner.io · 5 Global Jurisdictions
SEC
United States
FINRA
United States
FCA
United Kingdom
CSA
Canada
ASIC
Australia
Platform Features
Key capabilities from our AI-powered compliance platforms
Smart Compliance Calendar
All tasks organized by deadline and jurisdiction. Filter by regulator, track progress, and sync with Outlook, Google, or Apple Calendar.
RegReview.ioAI Compliance Scanner
Enter your CRD number, website URL, or upload documents. AI identifies all applicable regulators and generates calendar tasks automatically.
RegReview.ioInvestor Onboarding & KYC/KYB
Flexible investor invitation system with custom questionnaires, accredited investor verification, AML screening, and suitability assessments.
InvestPrep.ioDocument Analysis
Upload any marketing material for instant compliance review with line-by-line analysis and specific recommendations.
ADScanner.ioMulti-Jurisdiction Support
SEC, FINRA, FCA (UK), CSA (Canada), ASIC (Australia), EU AIFMD, MiFID II, UCITS, and offshore compliance.
All PlatformsAudit Prep & Document Fixing
Upload auditor letters—AI generates redlined versions showing fixes and clean corrected versions. Track findings with severity levels.
RegReview.ioAI Compliance Generator
Generate jurisdiction-specific compliance requirements for US, EU, and Canada. Input fund type, firm details, and investor locations for AI-powered regulatory recommendations.
InvestPrep.ioAnnual Review & Reporting
AI-generated annual compliance reports covering Rule 206-4-7, 38-A-1 with severity ratings, actionable recommendations, and jurisdiction-specific requirements.
RegReview.ioAI Compliance Assistant
Chat-based AI agent for regulatory questions about filings, registration requirements, and ongoing compliance obligations across jurisdictions.
InvestPrep.ioDOL Rollover Analysis
PTE 2020-02 fiduciary rollover documentation: per-rollover Best Interest analysis (plan vs. IRA), fiduciary acknowledgment & conflicts disclosure, annual retrospective review with Senior Officer certification, self-correction tracker, and 6-year retention. $29/mo add-on; included free with Professional & Enterprise.
RegReview.ioLicense Our Platforms — or Build Your Own
Most firms launch fastest by licensing RegReview, InvestPrep, or ADScanner under their own brand. For aggregators, fund admins, broker-dealers, and law firms that need deeper workflow fit, we also offer custom build-outs and full white-label deployments as a premium upsell.
Branded License · Recommended
From $[inquire]
Your logo, colors, and domain on our platform. Fastest path to launch — no build required.
Custom Build-Out
From $[inquire]
Premium upsell with tailored workflows, modules, and integrations for your firm's stack.
Enterprise White-Label
From $[inquire]
Resell as your own product. Best fit for aggregators, fund admins, and compliance vendors.
Connect to 6,000+ Apps
Every platform includes built-in Zapier integration with pre-built triggers and actions, plus REST API access for custom workflows.
CRM
Salesforce, HubSpot, Pipedrive
Communication
Slack, Microsoft Teams, Email
Calendars
Google Calendar, Outlook, Apple
Documents
Google Drive, Dropbox, SharePoint
Compliance
DocuSign, PandaDoc, Adobe Sign
Project Mgmt
Asana, Monday, Trello
RegReview.io
Automate compliance workflows and sync tasks with your existing tools.
- •Task Due / Overdue
- •Registration Expiring
- •Audit Finding Created
- •Annual Review Completed
- •Marketing Review Submitted
- •Calendar Task Updated
- •Create Compliance Task
- •Update Registration Status
- •Send Notification
- •Generate Report
InvestPrep.io
Connect investor operations and fund management to your CRM and back-office systems.
- •New Investor Onboarded
- •KYC/KYB Verification Complete
- •Capital Call Issued
- •Distribution Processed
- •Subscription Doc Signed
- •Compliance Requirement Generated
- •Create Investor Record
- •Update Fund Status
- •Send Investor Notice
- •Sync Contact to CRM
ADScanner.io
Route compliance scan results to your review and approval workflows automatically.
- •Scan Completed
- •High-Risk Finding Detected
- •Compliance Score Below Threshold
- •New Document Uploaded
- •Create Review Task
- •Send Alert Notification
- •Log Scan Results
- •Update Compliance Record
Ready to Automate Your Compliance Workflows?
See how our AI platforms can reduce review time, eliminate manual processes, and keep your firm exam-ready.