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Elementor #4438

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
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