Question 1

Does Essentials cover everything a small RIA is required to do?

Accepted Answer

Yes. Essentials includes the full set of universal adviser obligations: written policies and the Rule 206(4)-7 annual review builder, Code of Ethics and personal trading, Form ADV tracking, Form CRS & Reg BI, OBA and gifts/political contributions tracking, attestations, training, the compliance calendar, Reg S-P incident and vendor management, and AI marketing review. Professional and Enterprise add capacity and depth — more users and reviews, communications archiving and surveillance, the regulatory filing log, the performance advertising library, and advanced reporting — not additional rules.

Question 2

Can I try the platform before committing?

Accepted Answer

Yes. Every plan includes a 14-day free trial with no card required. Add a payment method whenever you decide to keep going; if you do not, the trial simply ends and nothing is charged.

Question 3

How fast can I get started?

Accepted Answer

Most firms are live the same day they sign up. No lengthy implementation projects, no waiting weeks for onboarding. Compare that to legacy platforms that take months to deploy.

Question 4

Can I change plans later?

Accepted Answer

Absolutely. Upgrade or downgrade at any time. Upgrades take effect immediately; downgrades apply at your next billing cycle.

Question 5

How does annual billing work?

Accepted Answer

Pay annually and save 10%. Essentials drops to $251/mo ($3,012/yr), Professional to $584/mo ($7,008/yr), and Enterprise to $1,079/mo ($12,948/yr).

Question 6

What counts as a Marketing Review?

Accepted Answer

Each marketing material you submit for AI compliance review counts as one Marketing Review. This includes brochures, social media posts, pitch books, factsheets, advertisements, and any other marketing content submitted through the platform.

Question 7

I am a compliance consultant with several client firms. How does that work?

Accepted Answer

Each client firm is on its own plan, billed to the firm or to you. Your seat in every client firm is free and does not count toward that firm's user limit, and your own practice workspace is free. Five client firms on the platform takes 10% off every firm's subscription; ten takes 15% off. Each firm sees only its own records; you see all of yours from one login.

Question 8

What payment methods do you accept?

Accepted Answer

We accept all major credit cards through Stripe. For Enterprise plans, we also support invoicing and ACH transfers.

Question 9

How does this compare to other compliance platforms?

Accepted Answer

Legacy enterprise compliance platforms often cost five figures per year. A 25-person firm on our Professional plan pays $7,008/year — a fraction of that. We also include a NASAA state model-rule library and per-state adoption tracking alongside our SEC and FINRA coverage.

Feature	Essentials	ProfessionalPopular	Enterprise
Core Platform
Policy Library & Version Control
Pre-Built Policy Templates (53)
Pre-Built Training Modules (26)
Custom Training Modules
Attestations with E-Signature
Code of Ethics & Personal Trading
Form ADV Tracking & Reminders
Regulatory Calendar
Audit Trail & Logging
SEC & FINRA Rule Coverage + NASAA State Rule Library
Compliance Workflows
AI Marketing Review	10/mo	100/mo	500/mo
Scheduled Website Monitoring
AI Compliance Assistant
OBA & Gifts/Political Contributions Tracking
Training Module Management
Communications Oversight
Communications Archive & Surveillance
Multi-Reviewer Workflows
Advanced Reporting & Analytics
Exam Preparation Tools
Annual Compliance Review (206(4)-7)
Compliance Health Score
Form CRS & Reg BI Toolkit
Regulatory Filing Log & SARs
Performance Advertising Library (Disclosures, Composites & Benchmarks)
Integrations
Microsoft 365 Communications Capture
Excel / CSV Communications Import
API Access
Read-Only MCP Server (AI assistants)
Enterprise
SSO/SAML Integration
Custom Branding
Multi-Firm / Consultant Access
Priority Support & Dedicated Onboarding

Simple, Transparent Pricing

Essentials

Professional

Enterprise

AI Marketing Compliance Review

Plan Add-Ons

Full Feature Comparison

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