What mismatches does it detect?

Fee terms in client agreements that differ from ADV disclosures, services promised but not disclosed, and contractual terms that create compliance gaps.

How often should this run?

After any ADV amendment, after new client agreement templates are adopted, and annually as part of your compliance review cycle.

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.

Talk to an expert

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.

Examination findings for undisclosed services or fee arrangements

Examiners flag services or fees that appear in client agreements but are missing from the firm's regulatory filings.

Client disputes over terms not reflected in Form ADV

Contractual terms that diverge from ADV disclosures create legal exposure when clients question what they were promised.

Contractual obligations exceeding disclosed service capabilities

Agreements that commit to services beyond what is disclosed put the firm in an impossible regulatory position.

Risk exposure from services performed but not properly disclosed

Performing undisclosed services is a compliance failure regardless of whether clients complain. Examiners find these gaps.

What This Agent Automates

Compares advisor agreement terms to Form ADV Part 2A disclosures

Flags services mentioned in contracts not disclosed in ADV Item 4

Identifies fee arrangements in agreements not matching ADV Item 5

Validates investment strategy language aligns with ADV Item 8

Generates detailed mapping report showing alignment and gaps

What It Eliminates

Manual side-by-side comparison of 30+ page ADV and multiple agreement templates

Risk of using outdated agreement forms after ADV amendments

Gaps discovered only when examiners request documentation

Legal disputes from contractual terms exceeding disclosed services

How It Works

From raw documents to verified alignment in four steps

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

What the agent actually produces

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

Built for the teams responsible for compliance

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.

Get Started

Ready to close disclosure gaps?

15-minute diagnostic call. We review your agreements and ADV and show you exactly where gaps exist.

Thanks! We'll be in touch shortly.

SOC 2 Type II

Zero Data Retention

Hosted on AWS