Finance · Cohort waitlist
For the solo RIA, CPA, and advisory practice that has to stay examinable.
Your operator runs the administrative and compliance load — prospect intake, the marketing pre-approval queue, the compliance calendar — so the practice stays exam-ready without a full-time compliance hire.
It stages and schedules; it never executes a regulated action. No consumer credit pull, ever.
What your operator does
Finance, run end to end.
Prospect intake
Captures a prospect with the SSN masked at write — no credit pull, ever.
Marketing review queue
Holds communications for SEC Marketing Rule (2210) pre-approval before anything publishes.
Compliance calendar
Tracks Form ADV, audit, and exam deadlines, and reminds you ahead of each.
SEC exam prep
Assembles the exam checklist and gathers the documents — never auto-files.
GLBA / Reg P notices
Generates privacy notices and the Reg S-P incident-response runbook.
Invoicing + books
Stages invoices into QuickBooks or Xero as drafts — never charges, never moves money.
Broker-dealer comms archiving is partner-gated (Smarsh / Global Relay / Mirrorweb) and not enabled in v1. Stage-only by design: every agent stages, formats, or schedules — none executes a regulated action.
Tiers and pricing
Solo Starter
$199/mo
Pro
$399/mo
Practice
$799/mo
Compliance Suite
$1,499/mo
Enterprise
$2,999/mo
Join the Finance waitlist.
One operator at a time, so the system learns your business before it runs it.