RIA compliance

RIA compliance with built-in AI to automate reviews, disclosures, and regulator readiness

Q: What is RIA compliance software?

RIA compliance software helps investment advisers enforce supervisory policies, track recurring tasks, and maintain audit-ready documentation.

Q: How does Process Street support RIAs?

We automate workflows for advertising review, trade disclosures, training, and more, with time-stamped records and role-based assignments.

Q: Can we assign workflows by team or rep?

Yes. Assign workflows based on advisor, office, or function, with built-in controls and visibility.

Q: Does this help with exam prep?

Absolutely. Cora tracks execution, flags risk, and compiles exam-ready logs and task histories in real time.

Q: How quickly can we go live?

Most firms launch in under a week with built-in templates and white-glove onboarding support.

Manage your compliance calendar, enforce supervisory procedures, and pass SEC audits with confidence, powered by Cora, your AI compliance agent.

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RIA compliance with built-in AI to automate reviews, disclosures, and regulator readiness

Trusted by more than 3000 companies

What's your biggest RIA compliance challenge?

Process Street automates recurring tasks for Form ADV updates, annual reviews, and policy acknowledgments.

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Registered investment advisers face constant scrutiny from regulators, clients, and auditors.
Whether you're a solo RIA or a fast-scaling firm, spreadsheets and shared drives won't cut it. You need a system that turns your compliance manual into repeatable, provable execution.

Process Street's RIA compliance platform helps you automate recurring tasks, track policy enforcement, and maintain full audit readiness, without chasing emails or missing deadlines.

Centralize and control all compliance documentation

Store your WSPs, disclosures, code of ethics, training logs, and review checklists in one version-controlled system with audit trails.

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Centralize and control all compliance documentation

Turn SEC rules into workflows

Build automated workflows for advertising reviews, personal trading checks, annual reviews, and more. Assign tasks, enforce due dates, and track completion.

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Reduce risk and prove policy enforcement

Link compliance activities to internal controls and regulatory rules. Detect missed reviews, expired policies, or unacknowledged disclosures.

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Reduce risk and prove policy enforcement

Ensure compliance with built-in approvals and logs

Track every review, change, and sign-off. Maintain time-stamped records ready for exams and audit response.

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Meet Cora,
your AI compliance partner

Cora isn't just an automation layer. She's your 24/7 compliance assistant. Integrated into Process Street, Cora enforces deadlines, flags issues, and compiles audit-ready documentation behind the scenes.

Aligns to RIA requirements Automate workflows tied to Rule 206(4)-7, ADV updates, and code of ethics
Transforms tasks into action Assign work, collect proof, and ensure every review happens on time
Monitors for gaps Detect late submissions, incomplete workflows, or lapses in execution
Prepares for exams Auto-generate exam packs with logs, audit histories, and policy evidence

With Cora, your compliance program becomes
continuous, defensible, and audit-ready.

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Streamline annual compliance reviews

Automate every step of your Rule 206(4)-7 review, from questionnaire completion to issue tracking and sign-off.

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Strengthen advertising review processes

Route client-facing materials through compliance review and principal approval. Log every decision and attach supporting records.

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Manage personal trading and disclosures

Automate trade log submissions, code of ethics attestations, and exception reviews with workflows and built-in controls.

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Gain oversight with real-time dashboards

Track open tasks, overdue items, recurring risks, and audit prep across your entire program in one dashboard.

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RIAs use Process Street to stay compliant and regulator-ready:

Annual compliance review

Automate review collection, risk analysis, and action plans under Rule 206(4)-7.

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Advertising review

Route ads, newsletters, and social content for review and log principal approvals under Rule 206(4)-1.

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Code of ethics attestations

Distribute the policy, collect attestations, and track personal trading disclosures.

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Compliance calendar management

Schedule recurring tasks tied to ADV updates, Form U4/U5 changes, or training deadlines.

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SEC exam readiness

Compile logs, reports, and policy records for exam response, with no last-minute scramble.

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Cross-functional compliance coordination

Bring together Legal, Ops, HR, and CCO workflows in one shared platform.

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Frequently asked questions

Can't find the answer you need? Contact our support team.

What is RIA compliance software?

How does Process Street support RIAs?

Can we assign workflows by team or rep?

Does this help with exam prep?

How quickly can we go live?

Trusted by 3000+ companies

From boutique firms to enterprise RIAs, Process Street powers
compliance programs for teams that value control and efficiency.

Data protection & security

ISO27001 compliance

Process Street is ISO 27001 certified, confirming compliance with global standards and a strong commitment to protecting customer data through audited, continuously monitored security controls.

Data protection & security

SOC 2 Type II compliance

Process Street has passed a SOC 2 Type II audit, confirming that it meets various criteria for safeguarding customer data. An independent external auditor has verified the effectiveness of the controls implemented by Process Street.

Healthcare information privacy

HIPAA compliance

HIPAA, a federal law, safeguards patient health information. Process Street's robust security measures include the option for a Business Associate Agreement upon request, ensuring HIPAA compliance.

Data protection & security

AWS CIS compliance

The CIS AWS Foundations Benchmark provides security best practices for AWS environments. Process Street's compliance ensures a secure cloud infrastructure by following established guidelines for configuration and monitoring.

EU Data protection & privacy

GDPR compliance

The General Data Protection Regulation (GDPR) is an EU law designed to protect the privacy of individuals and businesses in the EU economic area. It establishes rules for how personal data is collected and handled. Read our GDPR statement

Data protection & privacy

CCPA compliance

The California Consumer Privacy Act (CCPA) gives California residents more control over their personal data, including rights to access, delete, and opt out of data sales. Process Street ensures compliance through transparent practices.

Security & privacy

Artificial intelligence

Your data is never used to train AI models. Any data read or created by a workflow is exclusive to that particular workflow instance and cannot be accessed otherwise, even from within the same organization.

Data sovereignty & infrastructure

Data residency & private cloud

Choose where your data is stored with support for US, UK, Canada, EU, and UAE regions. Customers can also opt for private cloud deployment in their own VPC for maximum control and security.

Backed by happy clients

With Process Street we've been able to bring documentation to life… allowing us to adapt processes quickly, improve governance and achieve consistent results