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Registered Investment Advisors (RIAs)

As the sheer volume and breadth of regulation continues to rise, investment advisors are facing increasingly complex compliance challenges.

The SEC reports that the most common deficiencies for RIAs include out-of-date compliance manuals, inaccurate disclosures, and incorrect or untimely filings.

We help Investment Advisors win at regulatory compliance.

Ascent’s Regulation AI extracts your firm’s exact obligations from oceans of regulatory text and distills them down into daily tasks. This targeted intelligence streamlines your horizon scanning and change management processes, ensuring you never miss an important detail.

Then, ensure completeness using Ascent’s full set of compliance management tools. The result is a traceable, end-to-end compliance solution that helps you on the path towards 100% compliance.

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See how Ascent helps you streamline compliance.