Use Cases

Based on actual clients from RIA Consults/Review

Newly Formed Robo-Advisor with the SEC

• Advisor registers a robo-advisory firm with SEC.
• Advisor receives a notice from examiners to provide its compliance manual and code of ethics
• Advisor signs up for RIA Review retrieve needed documentation and review regulatory updates
• Advisor tailors the online documentation templates to his firm’s business model.
• Advisor delivers his online documentation to SEC Regulators
• Advisor stores his documentation for books and records requirements
• Advisor conducts a periodic review using Review Center to fulfill its obligations

California registered Advisor who was recently audited by the Department of Business Oversight

• Advisor receives a discrepancy letter from examiners to update his ADV and agreements
• Advisor goes online for RIA Review retrieve summary of ADV disclosures and agreements
• Advisor tailors the online documentation templates based on examiner requests
• Advisor files his ADV online to meet regulators
• Advisor stores his documentation for books and records requirements