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Stop ADV Violations

Catches Part 1 vs Part 2 inconsistencies before examiners do. Automatically checks services, fees, and client types across all ADV sections.

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Why This Matters

ADV inconsistencies are exam red flags

When Part 1 registrations don't match Part 2 disclosures, examiners assume either sloppiness or intent to mislead.

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Examination findings for misaligned service descriptions

Services listed in Part 1 that aren't described in Part 2A are an immediate examination red flag that triggers deeper scrutiny.

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Fee disclosure violations that trigger client complaints

Fees disclosed differently across ADV sections create ambiguity that clients exploit when disputing invoices.

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Client type mismatches raising suitability questions

Client categories checked in Part 1 that don't appear in Part 2A raise suitability questions that are difficult to defend during an exam.

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Brochure language contradicting actual practices

Firm brochures that don't align with filed ADV documents signal that one of them doesn't reflect how the firm actually operates.

What This Agent Automates

check_circleCross-references Part 1 service checkboxes against Part 2 descriptions
check_circleValidates fee schedules disclosed in brochures match Part 2A Item 5
check_circleChecks client type alignments across all ADV sections
check_circleFlags language in brochures that conflicts with actual business model
check_circleGenerates detailed findings report with page-level citations

What It Eliminates

cancelManual side-by-side comparison of 50+ page documents
cancelRisk of missing critical discrepancies during annual updates
cancelLast-minute scrambles when examiners request ADV consistency proof
cancelUncertainty about whether brochure language matches registrations

How It Works

From raw filings to consistency verified in four steps

1

Upload

Form ADV Part 1, Part 2A/2B, firm brochures, CRS.

2

Extract

Services, fees, client types from each document.

3

Compare

Cross-reference Part 1 vs Part 2 vs brochures.

4

Report

Detailed findings with page citations and remediation steps.

Example Outputs

What the agent actually produces

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

Built for the teams responsible for regulatory filings

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.

Get Started

Ready to audit your ADV for consistency?

15-minute diagnostic call. We review your ADV and show you exactly where Part 1 and Part 2 diverge.

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