Free compliance tools for advisers
12 tools in 3 categories
Each tool turns one rule into something you can use at a desk: a keep-until date for a record, a calendar of filing and reporting dates, a checklist for the annual review. The periods and paragraphs come from the rule text, and every tool page quotes the sentence it relies on and names where it sits.
They run in your browser. Nothing you type is sent to us (our privacy policy lists what the site does collect); two of the longer tools keep their entries in your own browser so a half-finished list survives a reload. A result is a starting point for your compliance counsel, not a ruling on your firm. For the reading behind each tool, see the guides; for the software that keeps the records a tool lists, see the software comparisons.
- Books and records retention calculatorPick a firm type and a record class and get the keep-until date and the easily accessible window.Tool
- Archiving requirements matcherPick the channels your firm uses and see what must be captured, how long it is kept, and which tools cover it.Tool
- Books and records checklist generatorLists the records your firm must make and keep for its type and activities, with the rule paragraph for each.Tool
- Marketing Rule ad review checklistDescribe an ad, answer a few prompts, and get the review checklist and what to keep on file.Tool
- Off-channel communications policy builderBuilds an electronic communications policy from your approved channels, devices and archiving setup.Tool
- RIA and FINRA compliance checklistA printable checklist by firm type covering the program, records, communications, filings and exam items.Tool
- Form CRS builderDrafts the relationship summary's required sections from your firm's services and fee types.Tool
- Form ADV annual amendment date plannerEnter your fiscal year end and get the annual updating amendment due date and the brochure delivery steps.Tool
- RIA startup cost estimatorList each startup cost line, from registration fees to the tech stack, and see the total in one place.Tool
- RIA annual compliance review plannerBuilds the year's compliance review plan from your policies: areas, owners, evidence and dates.Tool
- RIA compliance manual templateAssembles a starting compliance manual from your firm's activities under Rule 206(4)-7 headings.Tool
- Code of ethics reporting deadline calendarEnter access persons and their start dates to get each initial, quarterly and annual report due date.Tool