RIA Compliance Tool · SEC Priority

ADV Guardian

AI-washing is the SEC's #1 RIA exam priority for 2026. Two firms cited in Q1 alone for Item 4 language claiming AI-driven investment processes they couldn't substantiate. Fines $50K-$200K + required amended filings. This tool audits your Form ADV Part 2A against the specific patterns SEC examiners are flagging, flags each issue by severity, and drafts the remediation language your compliance counsel will edit and file.

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Audit your Form ADV

Paste Form ADV Part 2A text OR upload PDF. Demo runs against a synthetic $185M AUM RIA with two critical AI-washing findings.

🤖 AI-washing language scan
🌐 Website vs ADV inconsistency
📋 Item 4/5/8/10/14/17 audit
⚖️ Marketing Rule interplay
📝 Remediation drafted per finding
📤 Amended ADV language ready
2026 context: SEC Director of Examinations named AI-washing the #1 RIA exam priority. Two cited in Q1 2026 for language like "We leverage AI for investment outcomes." If your ADV has similar language + no substantiation, you're in the crosshairs.