Gap analysis, testing workpaper review and control mapping for broker-dealers and registered firms — read line by line against the rule, on hardware we own, by a reviewer who has sat on both sides of the examination.
Five engagements, in the order firms usually need them. Every one produces a document a reviewer can sign, not a dashboard.
Your written supervisory procedures read section by section against the requirements of a named rule — FINRA 3110, SEC 15c3-5, or an AML program under BSA/3310. You get a workpaper listing what is addressed, what is partial, and what could not be located, each quoting your own policy text so it can be verified in seconds.
From $2,500 per rule, per document set
Your compliance testing read again before an examiner reads it for the first time. We look for the failure this owner spent a career finding: conclusions the evidence does not actually support, sample sizes that cannot carry the assertion, and exceptions closed without a documented disposition.
This is preparation, not attestation. It does not replace independent testing and nobody here signs it — you get the questions an examiner is likely to ask, early enough to answer them.
From $3,500 per testing cycle
If you already advise broker-dealers or RIAs, we do the reading. You get the gap-analysis workpaper under your own letterhead, with your conclusions and your signature — we never contact your client and never appear in the file. Useful when a policy review lands in a week you are already full.
Wholesale, per document set — ask
A half-day working session for a team that is already using AI unsupervised and would rather it were not. Document analysis, drafting, meeting summaries, spreadsheet work — plus the parts that matter in a regulated firm: what may never be pasted into a public model, how to spot a confident fabrication, and where a human signature is still required.
$2,500 – $5,000 per firm, half day · $750 – $1,500 for a 90-minute introduction
Document search, classification and extraction running entirely on hardware you or we control, for firms that cannot send client files to a hosted model. Built on the same infrastructure the reviews above run on.
$3,000 – $10,000 to implement · $500 – $2,000/month to run