Risks You Cannot See By Eye
Crowding, clone risk, drift from your disclosed strategy and AUM gaps only appear when your book is compared with the whole market and with your own filings.
RIAs and Wealth Firms
Compliance Intelligence Built For Advisory Firms
Glynac watches your book, your filings, your outbound marketing, your vendors and your client relationships, and raises a report when something crosses a line your firm set.
MediumBrochure and book have drifted apart
The challenge
Why It Takes More Than A Checklist
Risk at an advisory firm rarely sits in one system. A holding can become crowded, a brochure can fall behind the live book, an email can brush the Marketing Rule, a vendor can have a bad week, a client can go quiet. Each lives in a different place and arrives on a different schedule.
Reviewing all of that by eye does not scale. Glynac does the comparison work on a schedule and hands your reviewer a report with its source and its reason.
What you get
What Changes For You
A Documented Decision Every Time
Every report closes as Action Taken or No Action Needed, with the reviewer’s reason kept beside the evidence.
Oversight Leaders Can See
Each workflow states how often it runs, so leaders know what a quiet week does and does not mean.
Review Capacity Back
Time spent collecting context goes back into judgment and into growing the business.
In practice
How A Week Looks
Daily
Daily
Outbound marketing email and vendor sources are checked.
Weekly
Weekly
Crowding, clone risk and the ADV AUM gap are re-scored against your live book.
Monthly
Monthly
Strategy drift is checked against the strategy in your Form ADV Part 2A.
Ongoing
Ongoing
Contact recency is tracked for the client relationships your team has asked about.
Workflows
The Live Workflows
Each has its own page with scope, cadence and limits.
Weekly and monthly
13F Intelligence
Crowded positions, clone risk and strategy drift, checked against the wider market of institutional filings.
Weekly
Form ADV Monitoring
Flags when the AUM in your Form ADV Part 2A brochure drifts away from your live book.
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.
Roles
Which Workflow Helps Which Role
Some workflows are for the CCO alone, and some give the advisor a part to play.
| Workflow | CCO | Advisor |
|---|---|---|
| 13F Intelligence | Yes | Yes |
| Form ADV Monitoring | Yes | Not applicable |
| Marketing Compliance | Yes | Yes |
| Vendor Due Diligence | Yes | Not applicable |
| Client Relationship Monitoring | Yes | Yes |
Roles
Who Uses It, And How
Feels the pain, runs the review
CCO
Gets ranked reports with evidence, and a documented trail for every decision.
Signs the decision
Firm leader
Sees oversight that is active across the firm, not only at exam time, and which role owns each follow-up.
Owns the relationship
Advisor
Gets a fast correction loop on marketing and a nudge when a client goes quiet.
Best fit
Where Glynac Fits Best
- Advisory firms with a compliance function, or a clear need for one
- Books of roughly $100M and above
- A CCO who feels the pain of manual, reactive review
- Black Diamond and Microsoft 365 available, depending on the workflows you want
When to start
Signs It Is Time
- Crossing the $100M mark, or hiring an internal CCO
- Compliance data volume becoming overwhelming
- Cross-referencing risk data across multiple vendors
- Worrying that an undetected risk could become a costly finding
Questions
RIAs and Wealth Firms: Good To Know
It fits best at advisory firms with a compliance function, or a clear need for one, and books of roughly $100M and above. Clone-risk checks need books of about $100M or more; the other workflows still apply to smaller books.
It depends on the workflow. Vendor Due Diligence needs neither. 13F and ADV checks need Black Diamond. Marketing Compliance needs Microsoft 365.
The CCO reviews and decides. Advisors take part where a report needs a correction or a follow-up, such as marketing wording or a client who has gone quiet. Leaders see what is covered and what was decided.
Form ADV Part 1, Part 2B and Form CRS are not read. Marketing review is Microsoft 365 email only. Client monitoring starts after someone asks about a client. Clone risk is not available under about $100M.
No. It sits above your existing systems. It surfaces risks that sit between them and keeps a person in charge of the decision.
Request a demo
See Glynac On A Firm Like Yours
A walkthrough with our team, using the workflows live today.
