For the adviser who owns the firm and is also its Chief Compliance Officer. Plumb keeps the marketing review log, the registers and the calendar that the Marketing Rule and the books and records rule expect, and can prove that none of it was changed after the fact.
Free check · about a minute · no account · $1,990 a year founding, 30 days money back
An examiner does not only ask whether you reviewed your marketing. They ask to see the review, the version you reviewed and when you decided. A spreadsheet can say anything. This log can show it has not been changed.
Every decision is stored with a fingerprint of the exact content reviewed, who decided and when. Each entry also carries the fingerprint of the entry before it, so altering or back-dating any record breaks every link after it.
The exam binder re-checks the whole chain when you export it and prints the result on its first page.
An example log. Each prev is the hash on the row above it.
The SEC's Division of Examinations published what it found when it looked at advisers' marketing. Three findings come up again and again at small firms, and each is a record-keeping problem as much as a drafting one.
Client quotes and star ratings, often pulled in from Google or Yelp, with nothing saying whether the person is a client, whether they were paid, or what conflicts exist.
Rule 206(4)-1(b)(1)
Awards and rankings shown without the date of the rating, the period it covers, who created it, or whether a fee was paid to obtain or use it.
Rule 206(4)-1(b)(3)
Referral partners and solicitors paid more than $1,000 in a year with no written agreement on file, and no record of the disclosures they gave.
Rule 206(4)-1(b)(2)
Paraphrased from the alert. Read the alert itself before relying on any summary, including this one.
Everything an examiner asks a small adviser to produce about marketing, promoters, deadlines and vendors, kept in one place and exported as one binder.
Paste the text, give a URL or upload the file. Plumb pre-reviews it against the Marketing Rule checklist and shows what it found and why. You decide: approve, approve with changes, or reject, with notes. A decision is locked; a change is a new version linked to the old.
Rule 206(4)-1 · Rule 204-2(a)(11)
Every event that changes the record, in order, each one hashed together with the one before. One button re-verifies the whole chain, and the export carries the result.
sha256 · append only
Every testimonial, endorsement and third-party rating you use: who, whether paid and how much, the agreement and its date, the disclosure text, and for ratings the date, period and provider.
Rule 206(4)-1(b)
Built from your firm profile: Form ADV amendment, brochure delivery, code of ethics reports, 13F, Form PF, custody exam, IARD renewal, IAR CE. Each completed with a note. Dates not yet published are marked approximate.
Rules 204-1, 204-3, 204A-1, 206(4)-7
The service providers that touch customer information: last due diligence, whether the contract has a 72-hour breach notice clause, and when each is next due for review. In force for small advisers since 3 June 2026.
Regulation S-P, as amended 2024
One ZIP when the letter arrives: a printable index, CSVs of every register, the review log with the content reviewed, and the hash chain with its verification. Yours to keep, whatever happens to your subscription.
index.html · CSV · JSON
Give us your website address. Plumb reads up to eight pages and reports testimonials, ratings, performance and Form CRS links against the December 2025 checklist. No account needed, and the report has its own link to print or forward.
Automated checks, not legal advice.
One to five people, retail clients, and nobody whose only job is compliance. Including new SEC registrants, who are often examined early and are building the programme from nothing.
You are the one an examiner asks about your vendors. So here is what Plumb holds, what it does not, and how you leave, before you spend anything.
No account numbers, Social Security numbers, holdings or client lists, and no place to put them. Encrypted in transit and at rest. What is stored, and where.
The usual questionnaire answered in plain words, as a file you can drop into your vendor records. Read or download it.
One ZIP with a printable index, every register as CSV and the verified hash chain. Still readable and exportable after you cancel. See the binder index.
Paid at signup by card through Stripe. If it is not worth it, write to hello@plumbcompliance.com within 30 days and you get it all back.
Still have a question? Write to hello@plumbcompliance.com. The person who built Plumb answers.
Everything in Plumb, for one firm. No setup fee, no per-user charge, and no tier that holds back the export. You pay when you sign up, and the free website check needs no account at all.
a year, prepaid · about $166 a month
For the first 50 firms only. Your price stays at $1,990 for as long as you stay subscribed; once 50 firms have joined, the founding price closes to new firms.
Card via Stripe · 30 days money back · export any time
a month · $2,988 over a year
Month to month. Cancel whenever you like, and keep every record you made.
Card via Stripe · 30 days money back · cancel any time
Money back on both plans. If Plumb is not worth it in the first 30 days, write to hello@plumbcompliance.com and we refund the full amount to the card you paid with. No form, no conditions. Cancelling never locks you out: your records stay readable and exportable.
No free trial: the website check is the free part. Questions before you pay? Write to hello@plumbcompliance.com and a person answers. Data handling and Reg S-P vendor answers are on the security page.
These are not like for like. A consultant gives advice, and Plumb does not. But much of what a small firm pays for is keeping the record straight, and that part is what Plumb does.
| Option | Price | Over a year | What it covers |
|---|---|---|---|
| Compliance consultant | $8k to $15k a year | $8,000 to $15,000 | Advice, policies and procedures, mock exams, often the binder as well. |
| RIA in a Box | $350 to $900 a month | $4,200 to $10,800 | Compliance software and support, in tiers. |
| Smartria | $200 to $500 a month | $2,400 to $6,000 | Compliance software, in tiers. |
| Plumb, Founding | $1,990 a year | $1,990 | The record: review log, evidence chain, registers, calendar, exam binder.No advice. You make the decisions. |
| Plumb, Monthly | $249 a month | $2,988 | The same, month to month. |
No. Plumb is a record-keeping tool. Its checks point to the rule and say what is commonly missing, but whether a piece of marketing is acceptable is a decision for you as CCO, or for your counsel. Plumb records the decision you make, along with the content you made it about.
Plumb is built to hold none. It keeps your marketing, your registers, your calendar and your decisions, and has no place for account numbers, Social Security numbers, holdings or client lists. The one place a person is named is the promoters register, for testimonials and endorsements you already publish. The security page sets out what is stored, where, and the answers to the usual vendor due-diligence questions.
Yes, at any time, including after you cancel. The exam binder export is one ZIP: a printable index, CSVs of every register, the review log with the content reviewed, and the hash chain with its verification result. Your records are always readable and exportable. We will never hold a firm's own records hostage.
Write to hello@plumbcompliance.com within 30 days of your first payment and we refund the full amount to the card you paid with. No form and no conditions, on both plans. Your records stay readable and exportable after that.
The website check is free and needs no account. The rest of Plumb proves itself over months, as the review log, the calendar and the evidence chain build up, not in 14 days. So instead of a trial you pay at signup and have 30 days to ask for your money back in full.
Treat it as one and put it on your vendor list: it is the cautious answer, and it is what an examiner would expect to see. The security page answers the usual due-diligence questions (what is stored, where, who can see it, encryption, breach notice, export and deletion) and offers them as a file for your vendor records.
Yes. Write to hello@plumbcompliance.com and the person who built Plumb answers. You can also look around a read-only sample record first, at plumbcompliance.com/demo.
No. It means these automated checks found nothing on the pages they read. They can miss things, they can flag things that are fine, and they read up to eight pages. The report says so at the top.
A small independent software company. We are engineers, not lawyers or compliance consultants, which is why Plumb keeps records and cites rules rather than giving opinions. Write to hello@plumbcompliance.com and the person who built it answers.