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Independent Registered Investment Advisors (RIA)

You run your practice. Let ActiveComply® handle the compliance monitoring.

Independent RIA advertising compliance carries the same SEC Marketing Rule obligations as larger firms — without the staff to manage them. ActiveComply® gives solo and small advisory practices automated social media monitoring, AI-powered content review, and SEC Books and Records archiving sized for a practice where the advisor is also the CCO.

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What You Are Up Against

Independent RIAs face the same SEC Marketing Rule requirements as multi-advisor firms, including:

Most solo practitioners don’t have the time to review content, verify testimonial disclosures, or maintain the recordkeeping the rule requires. That’s where exam findings come from.

How ActiveComply® Solves These Issues

  1. ActiveComply® monitors advisor social media profiles continuously across LinkedIn, Instagram, Facebook, X, and other major platforms. A dedicated LinkedIn compliance integration with ACA Group means less manual work for your team and a cleaner audit trail.
  2. Your content is scanned for SEC Marketing Rule compliance without requiring you to initiate a review.
  3. If something needs attention, you receive a clear, specific notification.
  4. Client and prospect materials move through a fast review workflow before you send them out.
  5. Monitoring events and review decisions are archived automatically.
  6. When the SEC requests records, your documentation is organized and ready.

Independent IRA Advertising Compliance Software


Common Questions


Yes. ActiveComply® offers pricing tiers for solo and small advisory practices with no minimum seat counts or enterprise contracts. Most independent RIAs are live within a few weeks without IT involvement.

Yes. ActiveComply® Social scans advisor content for testimonial and endorsement disclosure requirements as standard. ActiveComply® Pre-Review includes SEC Marketing Rule screening in the AI pre-screening layer, covering testimonials, performance claims, and third-party rating disclosures.

The cost of a single exam finding in remediation, legal fees, and reputational exposure typically exceeds the annual cost of the platform. Institutions that have moved from manual monitoring also report a meaningful reduction in compliance staff hours spent on routine tasks, freeing capacity for higher-value work without adding headcount.

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See how ActiveComply® automates independent RIA advertising compliance and SEC recordkeeping for solo and small advisory practices.

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