ComplianceSupervision built into every investor update.

Dave Rumsey designed WealthInsight around the FINRA rules he works under as a registered representative. Every update is frozen before review, approved by someone other than its preparer, and logged in a record that cannot be edited.

Talk to DaveSee investor updates

Who this is for

What advisors run into today.

A representative can follow every rule and still struggle to prove it later.

Approvals in email threads

A reviewer's sign-off sits in an inbox, detached from the exact text that went out.

Projections slip through

A forecast figure lands in an investor letter before anyone checks whether the firm allows it.

Registrations by state

Notice filings and state registrations are tracked in yet another spreadsheet, if at all.

Other people's data

Rent rolls and tenant lists travel inside sponsor packages and can end up in front of investors.

Our approach

A clearer path from challenge to outcome.

The checks flag problems for a person to resolve, and every decision is recorded.

  1. Two-person approval

    An internal approver and a separate compliance reviewer each confirm the update is fair and balanced.

  2. Required wording

    Your firm's standard disclosures print on every update and freeze with each version.

  3. Projection controls

    Projections stay out of investor copies until your firm's policy turns them on.

  4. Audit log export

    Every action recorded with no update or delete, exportable by date range for your broker-dealer.

Ways we can help

Records you can hand to your broker-dealer

01

Approval checklist

Each approver confirms the update is balanced, carries the required wording, and goes only to the deal's investors.

02

Questions export

Investor questions and your answers as CSV for supervision and record keeping.

03

State registrations

Registrations for the representative and the broker-dealer, with dollars per state for each deal's notice filings.

04

Suitability dates

Suitability and accreditation dates tracked per client and checked before a subscription is approved.

Getting started

A simple path from first conversation to real traction.

1

Set your policies

Add your firm's required wording and decide whether projections may reach investors.

2

Name your reviewers

Assign the internal approver and the compliance reviewer, each signing in with two factors.

3

Review in place

Reviewers comment on single sentences and approve the exact version investors will receive.

4

Export the record

Download the audit log and question history whenever your broker-dealer asks.

Next step

See your own deals reported the way investors want to read them.

Send Dave a recent sponsor package and he will walk you through the update WealthInsight builds from it.

A short walkthrough with one of your own deals is the fastest way to judge the fit.

Talk to Dave