RIA: Compliance & Supervision

Does trying to understand the complex, ever-changing regulatory requirements of the modern RIA burden your staff resources?

Nexus ensures that requirements are met and executed in a compliant way.

Simplifying the complexity of compliance and supervision

The regulation landscape facing RIAs has changed dramatically over the last two years. This is new territory, and many RIAs may not know where to start.

In anticipation of these demands, the Nexus platform’s compliance and supervision modules are powered by sophisticated, built-in WSP protocols that provide for an integrated and automated day-to-day compliance capability. The result is a more holistic and comprehensive compliance approach with more consistent detailed monitoring capability than can be achieved via “typical” spreadsheet monitoring often used by many financial services firms. This capability can also eliminate the need for additional staff to handle compliance issues, thus saving resources.

Accountability and transparency

The Nexus environment empowers the back office to focus on maintaining SEC, State and/or Federal compliance, to streamline tasks and responsibilities, and to support the Advisor in maintaining their duties as the fiduciary. The reports center contains over 150 types of reports ready to use for tasks such as day-to-day business to preparation for various audit scenarios. The user management system gives the back office unparalleled granularity in controlling the users’ experience.

Experience Nexus

Smart productivity that yields value for financial services firms and staff.

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  • WSP enforcement
  • AML capabilities (FinCen OFAC, KYC)
  • Surveillance exceptions and reporting
  • Branch audit reporting
  • Check, signature and securities blotter systems
    • Reverse churning
    • High cash balances
    • Leveraged holdings
    • Daily account review for annualized performance mismatch with investment objectives
    • Asset concentration alerts
    • Restricted securities review capabilities
    • Insures adherence to ADV regarding max client fees


  • Risk-based transaction review (Smart Blotter™)
  • Firm-defined transaction coloring
  • Extensive firm-defined transaction review and assignment capabilities
  • State registration check on every transaction
  • Portfolio review can be assigned to anyone


  • 150+ standard reports accessible to Advisors
  • Configurable views with arbitrary column and group selections
  • Customized reports per RIA’s request
  • Connections to business intelligence reporting software such as PowerBI