Weekly
AUM Gap
Gap = (disclosed − live) ÷ disclosed. Flagged above 5%, medium up to 50%, high beyond that. Both thresholds can be adjusted for your firm by your admin.
Form ADV Monitoring
Catch The Gap Between Your Brochure And Your Book
Your Form ADV Part 2A describes the firm at a point in time.
- RunsWeekly
- NeedsBlack Diamond, CRD number
- Who decidesYour reviewer
The buyer problem
Why This Matters
A brochure does not update itself while the book keeps growing.
Left alone, a stale AUM disclosure turns routine paperwork into an exam finding. It is one of the most common and most avoidable gaps in a compliance program.
What Glynac checks
What Gets Checked
Your Form ADV Part 2A brochure, your CRD number, and your live book from Black Diamond.
Built in
Coverage Check
If a gap looks unusually large and Glynac is not confident it sees the full picture, it raises a low-priority data-coverage note instead of a false alarm.
What your reviewer sees
Everything Needed To Decide
- Disclosed AUM from the brochure, beside live AUM from your book
- The percentage gap and its severity
- A coverage note when the data may be incomplete
- The reviewer’s decision and reason when the report is closed
Where a person decides
The Decision Stays With Your Team
This is a CCO-facing workflow. The fix is updating the filed brochure, which is not something advisors are involved in. Glynac points to the gap and your CCO decides what to do about it.
Action TakenNo Action Needed
Scope and limitations
What To Know Before You Start
We say this upfront so there are no surprises later.
- Glynac reads Form ADV Part 2A only. It does not read Part 1 (including the official AUM figure), Part 2B or Form CRS.
- It compares the brochure your clients and prospects actually read with what the book holds today, not the Part 1 Item 5 figure.
- Needs your CRD number on file and Black Diamond for the live book.
- The check runs weekly.
Questions
Form ADV Monitoring: Good To Know
No. Glynac reads the Part 2A brochure, which is the number a client actually reads. Part 1 is not read today.
Yes. The ADV gap thresholds are firm settings, changed by your firm admin.
If a gap looks unusually large and Glynac is not confident it sees the full picture, it raises a low-priority data-coverage note rather than a false alarm.
No. It surfaces the gap with both values and the source. Your CCO decides whether an update is needed.
More workflows
Other Workflows
Weekly and monthly
13F Intelligence
Crowded positions, clone risk and strategy drift, checked against the wider market of institutional filings.
Daily
Marketing Compliance
Reviews outbound marketing email in Microsoft 365 against the SEC Marketing Rule, every day.
Daily
Vendor Due Diligence
Watches for breaches, outages and regulatory action at your vendors, with a citable source for every finding.
Ongoing
Client Relationship Monitoring
Flags client relationships that are going cold, before the client starts looking elsewhere.
Request a demo
See Form ADV Monitoring In A Demo
We will show the report, the evidence behind it, and how your reviewer closes it out.
