RIA Compliance Software

RIA compliance software, built for the SEC Marketing Rule.

RIA compliance software priced for the firm that can't justify a $30,000-a-year enterprise platform or a five-figure outsourced CCO retainer. Paste a draft. Get cited Marketing Rule flags in about 30 seconds. Audit log included.

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Corpus updated Dec 16, 2025·No card required·AES-256 at rest · TLS 1.3 in transit

Built for the small RIA

The compliance software a 1–15 person firm can actually run.

Most RIA compliance software is sold to firms that already employ a compliance department to operate it. We built ours for the firm that doesn't. Sub-$500M AUM, one principal wearing the CCO hat, and a content calendar that doesn't pause for a five-day consultant queue.

Sub-$500M AUM.You manage $80M, maybe $200M, and you're an SEC registrant because state thresholds pushed you across the line. The enterprise platforms are priced for the $5B shop with a Director of Compliance and a marketing ops team. You need the review, not the suite — and that's what RIA compliance software should mean at your scale.

Solo to 15-seat.Whether you're a one-person shop drafting your own LinkedIn posts or a 15-seat practice with a marketing coordinator and a part-time CCO, the bottleneck is identical: someone has to clear the copy before it ships. Our investment advisor compliance software replaces the “wait three days for the outside reviewer” step with a 30-second pre-publication pass that anyone on the team can run.

No dedicated compliance department needed.If your compliance program is one principal wearing the CCO hat on Thursdays, this is RIA compliance software you can actually operate yourself. Paste the draft. Read the cited flags. Apply the rewrites. The signed audit log writes itself in the background — you don't need to know what Rule 204-2 books-and-records retention looks like to comply with it.

What our compliance software does

Four jobs. Done in one paste.

Not a workflow tool. Not an archive. The pre-publication review every other piece of your stack assumes someone else is doing.

Pre-publication review of any draft

Paste a LinkedIn post, newsletter, blog draft, pitch deck slide, or full website page. In about 30 seconds, every clause an SEC examiner might cite under Rule 206(4)-1, severity-tiered for triage.

Every flag cites the rule

Each finding returns the section number — (a)(2), (b)(1),(d)(6)— plus the staff FAQ or risk alert behind it. If a flag can't cite an authority in the corpus, it gets dropped before you see it.

Signed audit log on every review

Timestamped, content-hashed record of every draft, every flag, and every decision your team made. Retained up to 7 years, exportable as a PDF exhibit when an examiner asks for evidence of your Marketing Rule program.

Disclosure generator for required language

Need a testimonial compensation disclosure, a hypothetical-performance caveat, or a third-party rating block? Generated to your facts, citing the FAQ or section that demands it. Paste into the draft — or accept inline.

How we compare

How RIA compliance software stacks up to the alternatives.

Three places a 5-person RIA looks first when the LinkedIn post needs a compliance review. Only one of them is software you can use this afternoon.

Safe to Publish

Enterprise compliance platforms

Outsourced CCO

Pre-publication AI review

Yes

Yes — but slow

Response time

~30 seconds

N/A

1–5 business days

Price for a 5-person firm

$149/month

$500–$2,500/month

$1,500–$5,000/month

Self-serve signup

Yes

No — sales-gated demo

No — engagement letter

Category labels used in lieu of brand names. Enterprise platform pricing per public RIA-vendor benchmarks; outsourced-CCO retainers per industry surveys.

~30s

Median review

From $49/mo

Solo plan · self-serve

Audit log

Signed, 7-year retention

Pricing

RIA compliance software pricing, sized to the firm.

We price RIA compliance software like a SaaS tool, not a consulting engagement. Every plan includes the full Marketing Rule corpus, the deterministic checks, and the signed audit log. You change only review volume, seat count, and retention window.

Solo

One-person RIA · own-LinkedIn use case.

$49/ month

30 reviews / month · 1 seat

What buyers ask before they sign up.

Do I need a CCO to use this?

No. The product is designed for the principal who wears the CCO hat one day a week. You paste the draft, the software returns the cited flags and suggested rewrites, and the audit log handles the recordkeeping. A CCO certainly helps — but isn't a prerequisite to running it.

Does it replace my compliance consultant?

No, and we'll tell you out loud where it shouldn't. Novel rule interpretation, an active SEC inquiry, or Form ADV alignment work still belongs in front of your consultant. Safe to Publish absorbs the textbook flags so the human you hire spends their billed hour on the genuinely close calls.

How is this different from a workflow or approval-routing tool?

A workflow tool routes the draft to a human reviewer and records the approval — it doesn't identify which clauses might trip Rule 206(4)-1. Our RIA compliance software reads the draft itself, surfaces the Marketing Rule risks inline, and runs upstream of whatever approval queue you already use.

How long does setup take?

Sign up, verify your firm CRD, paste your first draft. Most teams run their first live review within ten minutes of joining. There's no implementation call, no MSA, no integration phase — every feature on every plan is available the moment billing activates.

Try the RIA compliance software the small firms actually pay for.

14-day free trial. No card required. Up to 10 reviews to decide if it earns its keep.

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