The all-in-one compliance, compensation, and operations platform built for SEC-registered investment advisors.
From compensation reconciliation to compliance task management, RIAFMS gives your entire firm the tools to stay organized, secure, and exam-ready.
Replace scattered spreadsheets and multiple vendor tools with one integrated platform.
Upload LPL commission statements, automate advisor payouts with override splits, and generate detailed pivot reports.
Pre-loaded regulatory templates, bulk task creation, evidence tracking, and SEC exam binder export.
SHA-256 integrity hashing, retention labels, legal hold, tag-based organization, and advisor visibility controls.
Create firm-wide attestation campaigns, track per-user completion, and maintain timestamped records.
Build, save, and search custom reports by date range with flexible grouping and export options.
Automated alerts for deadlines, task assignments, and attestation due dates with email delivery.
Supercharge your compliance workflow with AI-powered document analysis.
Ask questions about any document in your vault and get instant AI-powered answers.
Automatic redaction of sensitive data (SSN, account numbers) before AI processing.
Every AI interaction is logged for SEC exam defensibility and compliance records.
Automated escalation alerts, recurring task schedules, and exam binder exports keep your compliance program running smoothly.
Pre-loaded regulatory templates, escalation alerts, and automated recurring tasks keep your firm ahead of deadlines. Generate SEC exam binders with one click.
From advisor portals to regulatory filings — manage your entire firm in one place.
Self-service access to commission data, attestations, and firm documents.
Submit, review, and approve marketing materials with version tracking.
Schedule surprise exams, track accountant firms, and record findings.
Track 13F, Form PF, ADV, and other filing deadlines with status workflow.
Enterprise-grade encryption, immutable audit trails, and PII-safe logging designed for financial services.
Purpose-built for financial services. Every layer designed to protect sensitive client data and satisfy regulatory requirements.
Join forward-thinking RIA firms using RIAFMS to stay compliant, efficient, and exam-ready.