0 to 500
Compliance IQ
$500
per month
for 0 to 500 accounts
Provides key compliance features:
- Standardize PDF disclosures for consistency
- Customize and generate Form CRS for RegBI
- Surveille advisors and view their accounts, clients, and households that have a portfolio risk vs. risk tolerance discrepancy
- Find drift exceptions, add compliance notes, select specific actions, and tag team members
- Edit & append disclosures for all email correspondence and reports, including proposals and IPS
- Download & export compliance records for audits
- Includes Professional Plan for all advisors for 1 year
501 to 1,000
Compliance IQ
$1,000
per month
for 501 to 1,000 accounts
Provides key compliance features:
- Standardize PDF disclosures for consistency
- Customize and generate Form CRS for RegBI
- Surveille advisors and view their accounts, clients, and households that have a portfolio risk vs. risk tolerance discrepancy
- Find drift exceptions, add compliance notes, select specific actions, and tag team members
- Edit & append disclosures for all email correspondence and reports, including proposals and IPS
- Download & export compliance records for audits
- Includes Professional Plan for all advisors for 1 year
1,001 to 5,000
Compliance IQ
$1,500
per month
for 1,001 to 5,000 accounts
Provides key compliance features:
- Standardize PDF disclosures for consistency
- Customize and generate Form CRS for RegBI
- Surveille advisors and view their accounts, clients, and households that have a portfolio risk vs. risk tolerance discrepancy
- Find drift exceptions, add compliance notes, select specific actions, and tag team members
- Edit & append disclosures for all email correspondence and reports, including proposals and IPS
- Download & export compliance records for audits
- Includes Professional Plan for all advisors for 1 year
5,001 to 10,000
Compliance IQ
$2,500
per month
for 1,001 to 5,000 accounts
Provides key compliance features:
- Standardize PDF disclosures for consistency
- Customize and generate Form CRS for RegBI
- Surveille advisors and view their accounts, clients, and households that have a portfolio risk vs. risk tolerance discrepancy
- Find drift exceptions, add compliance notes, select specific actions, and tag team members
- Edit & append disclosures for all email correspondence and reports, including proposals and IPS
- Download & export compliance records for audits
- Includes Professional Plan for all advisors for 1 year
10,000 to 15,000
Compliance IQ
5,000
per month
for 10,000 to 15,000 accounts
Provides key compliance features:
- Standardize PDF disclosures for consistency
- Customize and generate Form CRS for RegBI
- Surveille advisors and view their accounts, clients, and households that have a portfolio risk vs. risk tolerance discrepancy
- Find drift exceptions, add compliance notes, select specific actions, and tag team members
- Edit & append disclosures for all email correspondence and reports, including proposals and IPS
- Download & export compliance records for audits
- Includes Professional Plan for all advisors for 1 year
15,000+
Compliance IQ
Custom Pricing
for more than 15,000 accounts
Provides key compliance features:
- Standardize PDF disclosures for consistency
- Customize and generate Form CRS for RegBI
- Surveille advisors and view their accounts, clients, and households that have a portfolio risk vs. risk tolerance discrepancy
- Find drift exceptions, add compliance notes, select specific actions, and tag team members
- Edit & append disclosures for all email correspondence and reports, including proposals and IPS
- Download & export compliance records for audits
- Includes Professional Plan for all advisors for 1 year
