See the compliance gaps before an examiner does. We scan your website across eight SEC compliance categories and cross-reference it against your public Form ADV filings.
For SEC-registered investment advisers and their compliance teams.
Your free scorecard showed the headline findings. The full report provides complete evidence, remediation steps, and a CCO-ready action plan across all eight categories. Delivered instantly after purchase. See a sample report →
The SEC is actively examining RIA websites. Recent enforcement actions show the cost of non-compliance.
Fine against a mid-size RIA for website compliance failures — including hypothetical performance claims and misleading testimonials
SEC Division of Examinations issued a Risk Alert specifically targeting Marketing Rule compliance deficiencies
In combined penalties across SEC Marketing Rule enforcement actions in 2024-2025, targeting testimonials, performance claims, and disclosure failures
Your website is evaluated against SEC examination priorities, recent enforcement actions, and regulatory best practices. Each finding references your actual website content with specific evidence.
Reviews whether client testimonials and endorsements include required disclosures — compensation, conflicts of interest, and material relationships.
Rule 206(4)-1(b)(1)Identifies hypothetical performance claims, missing benchmark disclosures, and performance presentations that may lack required context or time periods.
Rule 206(4)-1(d)(6)Compares website claims against your public Form ADV filings — flagging discrepancies in services described, fee structures, and assets under management.
IAPD / Form ADV Part 2AScans for superlative claims, unsubstantiated guarantees, and marketing language that could be considered materially misleading under the general prohibitions.
Rule 206(4)-1(a)(1)Every scan evaluates your website content against the full text of Rule 206(4)-1, cross-references it with your firm's public Form ADV filings from the SEC's IAPD database, and checks it against patterns from recent enforcement actions and the December 2025 Risk Alert on Marketing Rule deficiencies.
The analysis reads your website the way a compliance examiner would — identifying specific language, checking for required disclosures, and flagging discrepancies between what your site says and what your filings declare. Each finding references actual content from your website with precise evidence, not generic checklist items.
Two ways in, depending on where you are. Want the deeper technical briefing on how the analysis actually works? Read the full methodology →
Your free scorecard shows your overall compliance risk score and headline findings.
Get complete findings across all eight categories with evidence, remediation steps, and a compliance checklist. See what's included →
Share the prioritized action plan with your CCO or compliance counsel and address gaps before your next exam.
Enter your firm's website address. No account, no login, no credit card.
We crawl your public website and cross-reference it against your Form ADV filings and SEC examination priorities.
A personalized one-page compliance risk scorecard delivered to your inbox within 24 hours.
The free scorecard gives you the headline picture. The full report gives your CCO something to act on.
Each report is personalized to your firm. The free scorecard gives you the headline picture — the full report provides complete findings with evidence and remediation steps. View a sample full report →
Scored 0-100 across eight SEC compliance categories
Your top compliance gaps ranked by regulatory risk
How your site performs across each of the eight compliance areas
The full report adds detailed evidence, remediation steps, Form ADV cross-referencing, and a CCO-ready checklist
Yes. No credit card, no commitment, no follow-up sales calls. We send you a one-page compliance risk scorecard of your firm's website. If you want the full report with detailed findings and remediation steps, that is a separate purchase.
We scan publicly available website content and cross-reference it against public Form ADV filings from the SEC's IAPD database. Your data is used solely to generate your report. It is not shared with third parties and is not retained beyond report generation.
No. RIA Health Check is an independent service. We are not affiliated with, endorsed by, or sponsored by the U.S. Securities and Exchange Commission or FINRA.
Each report is generated by a purpose-built compliance analysis engine that combines advanced AI with SEC regulatory frameworks. The system analyzes your website content against specific rule requirements, cross-references your public Form ADV filings, and evaluates findings against recent enforcement precedent. Every report is reviewed before delivery.
The free scorecard is a one-page summary: your overall score, 2-3 headline findings, and a category-level overview. The full report ($400) includes complete findings across all eight categories with exact quotes from your website, detailed remediation steps with rule citations, a full Form ADV cross-reference analysis, and a prioritized compliance checklist your CCO can act on immediately.
Our analysis identifies areas that may warrant review based on publicly available website content and regulatory filings. Findings are specific and evidence-based, but they are not legal opinions. We recommend all findings be reviewed by your firm's Chief Compliance Officer or compliance counsel.
Find out before the SEC does.