Forward your emails. Get a structured daily brief with flagged risks, required actions, and categorized threads. Built for small advisory firms that don't have a full-time compliance officer.
From: sec-exams@sec.gov. Requesting client fee schedules and ADV amendments. Due April 7.
From: j.martinez@email.com. Alleges wrap fee was not disclosed during onboarding. Requires written response.
From: compliance@schwab.com. Updated restricted securities list effective April 15. Review required.
From: s.chen@email.com. Confirmed annual review meeting for April 10. No action needed.
Set up auto-forwarding or manually forward compliance-relevant emails to your FlagDesk address. Takes 2 minutes.
Every email is reviewed, categorized by risk level, and checked against SEC/FINRA requirements. Flagged items get action recommendations.
A structured daily report lands in your inbox. High-priority flags first, required actions spelled out, low-risk items summarized.
Most small firms handle compliance with the owner wearing a second hat, or an expensive outsourced CCO they talk to quarterly.
Fractional CCOs charge $45,000-$180,000/year. For a 3-person firm managing $150M AUM, that's a painful line item.
Smaller RIAs under $1.5B AUM must comply with expanded safeguards rules by June 2026. More oversight, more documentation.
SEC exam requests, client complaints, custodian policy changes. They arrive by email and get buried in the inbox noise.
FlagDesk exists because small advisory firms deserve the same compliance awareness as firms with a full-time CCO. No platform to learn. No dashboard to check. Just a clean brief in your inbox every morning telling you exactly what needs your attention.
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