Disclosure Mapping Reviewer
Verify that client advisor agreements map correctly to Form ADV disclosures. Ensure all contractual terms align with regulatory filings to mitigate compliance risk gaps.
Why This Matters
Agreement-ADV misalignment creates dual regulatory and legal exposure. When contracts promise services or fees not disclosed in ADV, firms operate outside their regulatory framework.
Client agreements and ADV disclosures must align. Gaps create both regulatory risk and legal liability.
What This Agent Automates
- check_circle Compares advisor agreement terms to Form ADV Part 2A disclosures
- check_circle Flags services mentioned in contracts not disclosed in ADV Item 4
- check_circle Identifies fee arrangements in agreements not matching ADV Item 5
- check_circle Validates investment strategy language aligns with ADV Item 8
- check_circle Generates detailed mapping report showing alignment and gaps
What It Eliminates
- close Manual side-by-side comparison of 30+ page ADV and multiple agreement templates
- close Risk of using outdated agreement forms after ADV amendments
- close Gaps discovered only when examiners request documentation
- close Legal disputes from contractual terms exceeding disclosed services
How It Works
Upload
Client advisor agreements and current Form ADV Part 2A.
Extract
Services, fees, strategies from both documents.
Compare
Contractual terms vs ADV disclosures for alignment.
Report
Gap analysis with specific remediation recommendations.
Example Outputs
Service disclosure gap: Agreement mentions "tax planning services" but ADV Part 2A Item 4 does not disclose this service.
Suggested action: Either remove tax planning from agreement or file ADV amendment to disclose service.
Fee structure mismatch: Agreement shows performance-based fees but ADV Item 5 only discloses AUM-based fees.
Suggested action: File immediate ADV amendment or cease using performance fee agreements.
Alignment verified: All services, fees, and investment strategies in agreement properly disclosed in Form ADV Part 2A.
Suggested action: Agreement template approved for continued use with new clients.
Who This Helps
CCOs
Identify disclosure gaps before examinations find them.
Legal/Compliance
Ensure contractual terms match regulatory filings.
Operations
Validate new agreement templates against current ADV.
Principals
Avoid disputes from mismatched terms and undisclosed services.
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