Founding-member access

Keep your Reg S-P records exercised and audit-ready

The SEC's amended Regulation S-P took effect for smaller advisers on June 3, 2026. AdviserLedger is a plain records-and-workflow tool for solo and small RIAs: build and log your incident-response plan, run and date tabletop drills, track service-provider attestations, run the 30-day notification clock, and keep the 5-year record trail an examiner can follow — without paying for a full enterprise compliance suite.

No card required — reserve your founding-member spot.

Why this exists

Since June 3, 2026, RIAs under $1.5B AUM must maintain a written incident-response program, oversee service providers, notify affected clients within 30 days of a breach, and keep the related records for five years.
The suites built for this (COMPLY / RIA in a Box, ComplySci, Smarsh) are priced and scoped for firms with a dedicated compliance officer — thousands of dollars a year and far more than a solo or two-person shop needs.
So the small firm's plan is often a one-time attorney PDF that sits in a drawer, never exercised — the exact thing an examiner (or a real incident) exposes as useless.

What AdviserLedger does

Walks you through a written incident-response plan and stores it as a living document you actually update.
Schedules and date-stamps tabletop drills so the plan is exercised, not just filed.
Tracks each service provider's breach-notification attestation and flags the ones going stale.
Starts a 30-day notification clock the moment you log an incident, and keeps every decision and record in a five-year, export-ready trail.
It is a records and workflow log — not legal advice and not a compliance guarantee. It sits alongside whatever else you use.

Planned pricing

$249 / year

flat, per firm