About Us

We are a team of AI and data engineers who build specialist analysis systems. RIA Health Check is our purpose-built compliance analysis engine for SEC-registered investment advisers.

What we do

We design and build automated analysis systems that can read, interpret, and cross-reference large bodies of structured and unstructured data. Our background is in applied AI, natural language processing, and large-scale data engineering — not compliance consulting.

That distinction matters. We did not set out to replace compliance professionals. We set out to build something that does what they do not have time to do: systematically read every page of a firm's website and evaluate it line-by-line against the regulatory framework, public filings, and recent enforcement patterns.

How we built it

RIA Health Check is not an off-the-shelf chatbot pointed at a regulation. It is a custom analysis pipeline built from the ground up for this specific domain. The system combines:

• Advanced large language models fine-tuned for regulatory text interpretation and evidence extraction
• Structured data pipelines that ingest and cross-reference SEC IAPD filings, Form ADV data, and public enforcement records
• Custom evaluation frameworks built around the specific requirements of Rule 206(4)-1, Reg S-P, and related regulations
• Evidence-based output — every finding references the actual content from your website, not generic checklist items

The result is an analysis engine that reads a website the way an examiner would, but does it in minutes rather than days, and does it consistently across every page.

Why this exists

SEC enforcement of the Marketing Rule has accelerated significantly since late 2024. Fines regularly exceed $100,000 for issues that firms did not realise were on their own websites. Most RIAs do not have the bandwidth to audit every page against every applicable rule, cross-reference it with their ADV filings, and check it against the latest enforcement precedents.

We saw a problem that was fundamentally about data analysis at scale — exactly the kind of problem that modern AI is built to solve. So we built a system to solve it.

What we are not

We are not a law firm, compliance consultancy, or registered adviser. Our reports are analytical tools — they identify areas that may warrant review based on the regulatory framework. We always recommend that findings be reviewed by your firm's compliance counsel or Chief Compliance Officer before any action is taken.

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