Automated SEC compliance, risk monitoring, and exam prep in one platform.
ReguRIA is a B2B SaaS platform purpose-built for independent RIAs grappling with escalating regulatory demands. It centralizes compliance workflows—including policy management, trade surveillance, advertising review, and annual filings—into a single, automated dashboard. The system ingests real-time data from custodians and portfolio systems, using AI to flag potential violations, generate audit-ready reports, and simulate SEC exam scenarios. A built-in regulatory pulse monitors SEC rule changes and state-level updates, pushing actionable alerts to advisors. With tiered subscriptions based on AUM, ReguRIA scales from solo advisors to multi-state firms. Implementation includes a guided onboarding process mapping each firm’s compliance manual into the platform. The founding team comprises ex-SEC examiners and senior RIA compliance officers, ensuring domain authority. Data security meets GLBA and state breach notification standards, with SOC 2 certification on the roadmap. By replacing disjointed spreadsheets and generic cloud storage, ReguRIA saves each advisor an average of 15 hours per week on compliance tasks, directly reducing their regulatory anxiety and operational overhead.
SEC exam frequency has increased 25% since 2020, and state regulators are adopting more stringent custody rules, creating an urgent need for affordable RegTech among independent RIAs who currently spend 20+ hours monthly on manual compliance tasks.
Interview 10 independent RIA chief compliance officers this week to validate pain points and must-have features for an MVP.
Independent Registered Investment Advisors in the U.S.
SaaS subscriptions starting at $500/month for firms under $100M AUM, up to $2,000+ for $500M+ AUM, with annual contracts discounting 15%. Implementation fees ($2,000–$5,000) cover initial mapping. Average LTV per client is $40,000+ over 5 years due to high switching costs.
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