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Reg Review

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Reg Review is an AI-powered compliance platform built for registered investment advisers (RIAs), private fund managers, exempt reporting advisers (ERAs), and broker-dealers, with versions available for insurance, real estate, and private credit firms. It helps compliance teams run their whole program in one place: annual reviews, mock exams, Form ADV and U4 disclosures, marketing reviews, vendor due diligence, registration tracking, and FinCEN AML readiness. Its Disclosure Center drafts filings like Form ADV Item 9, U4 DRPs, Reg S-P, cybersecurity, conflicts, and fee disclosures, with citations and deadline tracking built in. Reg Review was developed alongside FIN Group’s active consulting practice and refined by real CCOs doing live compliance work during beta. Tiered pricing scales from solo practitioners to enterprise firms.

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