Stop ADV Violations
Catches Part 1 vs Part 2 inconsistencies before examiners do. Automatically checks services, fees, and client types across all ADV sections.
Why This Matters
Form ADV inconsistencies are exam red flags. When Part 1 registrations don't match Part 2 disclosures, examiners assume either sloppiness or intent to mislead.
ADV consistency isn't about perfect writing. It's about ensuring regulatory filings match what you actually do.
What This Agent Automates
- check_circle Cross-references Part 1 service checkboxes against Part 2 descriptions
- check_circle Validates fee schedules disclosed in brochures match Part 2A Item 5
- check_circle Checks client type alignments across all ADV sections
- check_circle Flags language in brochures that conflicts with actual business model
- check_circle Generates detailed findings report with page-level citations
What It Eliminates
- close Manual side-by-side comparison of 50+ page documents
- close Risk of missing critical discrepancies during annual updates
- close Last-minute scrambles when examiners request ADV consistency proof
- close Uncertainty about whether brochure language matches registrations
How It Works
Upload
Form ADV Part 1, Part 2A/2B, firm brochures, CRS.
Extract
Services, fees, client types from each document.
Compare
Cross-reference Part 1 vs Part 2 vs brochures.
Report
Detailed findings with page citations and remediation steps.
Example Outputs
Mismatch detected: Part 1 Item 5.D indicates financial planning services, but Part 2A Item 4 does not describe this service.
Suggested action: Add financial planning description to Part 2A Item 4 or uncheck Part 1 Item 5.D.
Fee disclosure gap: Brochure shows 1.25% annual fee on first $1M, but Part 2A Item 5 states 1.00%.
Suggested action: Align brochure fee schedule with Part 2A or file ADV amendment.
Validation passed: All services, fees, and client types are consistent across Part 1, Part 2A/2B, and firm brochure.
No remediation required.
Who This Helps
CCOs
Ensure Part 1 and Part 2 stay aligned without manual cross-checking.
Compliance Teams
Catch discrepancies before they become examination findings.
Operations
Update brochures with confidence that filings match.
Principals
Avoid surprises during regulatory reviews.
Still Checking ADV Manually?
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Audit My ADV✓ Catches Part 1 vs Part 2 inconsistencies
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