Pay per deliverable when you need one report. Or save 40%+ with a monthly plan if compliance is an ongoing need.
No subscription. No commitment. Pay only for what you need. Perfect for advisors with occasional or ad-hoc compliance needs.
Deep-dive analysis of recent SEC/FINRA rule changes, their compliance implications for your practice, and recommended action steps.
AI-powered review of a client portfolio against current regulatory requirements, suitability standards, and concentration risk rules.
Comprehensive compliance health assessment for your practice — policies, procedures, disclosures, and regulatory readiness.
Professionally formatted market intelligence brief ready to send to clients — compliant language, balanced perspective, your branding.
Full-year compliance review: policies, Form ADV audit, supervisory procedures, and a 12-month regulatory calendar for your practice.
Using 3+ deliverables per month? A plan saves you 40%+ and adds daily monitoring, dashboards, and priority alerts.
Designed for independent RIAs and solo practitioners.
For advisory teams, small RIA firms, and branch offices.
Enterprise compliance intelligence for growing RIA firms.
| Feature | Solo Advisor $149/mo |
Team $349/mo |
RIA Firm $699/mo |
|---|---|---|---|
| Weekly regulatory brief | ✓ | ✓ | ✓ |
| Daily regulatory monitoring | — | ✓ | ✓ |
| Portfolio compliance checks | 1/month | Unlimited | Unlimited |
| Client market briefs | 4/month | Unlimited | Unlimited |
| Compliance scorecard | — | 1/month | 1/month |
| Annual compliance review | — | — | 1/year |
| Advisor dashboard | ✓ | ✓ | ✓ |
| Team members | 1 | Up to 5 | Unlimited |
| API access | — | — | ✓ |
| Audit trail | — | — | ✓ |
| Compliance concierge | — | — | ✓ |
Investment adviser representatives must be registered with the SEC (if firm assets > $110M) or state (if assets < $110M) under the Investment Advisers Act of 1940 (15 U.S.C. §80a-1 et seq.). Individual registered representatives must pass the Series 65 exam. FinanceStackHub does NOT register individual advisors and does NOT substitute for SEC/state registration. Use of FinanceStackHub tools does NOT satisfy registration requirements. Advisors using FinanceStackHub must maintain separate SEC/state registration and Form ADV filings.
Broker-dealers (individuals and firms) must be registered with FINRA under the Securities Exchange Act. FINRA requires broker-dealers to follow suitability rules (FINRA Rule 2111) and, for certain securities, best execution requirements. FinanceStackHub tools do NOT ensure FINRA compliance. Broker-dealers using FinanceStackHub must maintain FINRA registration, conduct their own compliance testing, and maintain compliance documentation.
Investment advisers are fiduciaries required to act in clients' best interests under the Fiduciary Rule (17 CFR §206). Fiduciaries must disclose conflicts of interest, obtain client consent, and act with care and loyalty. FinanceStackHub is NOT a fiduciary and does NOT establish fiduciary duty to clients. Investment advisers using FinanceStackHub remain responsible for all fiduciary obligations. FinanceStackHub tools do NOT substitute for advisor fiduciary analysis.
FINRA Rule 2111 requires recommendations to be suitable for a customer's financial situation, investment objectives, and risk tolerance. The Dodd-Frank Fiduciary Rule extends best interest obligations to certain transactions. FinanceStackHub tools may assist analysis but do NOT determine suitability or satisfy best interest determinations. Advisors remain responsible for independent suitability analysis for all recommendations.