Riskalyze Compliance Kit

This is your one-stop-shop for compliance resources needed to document your technology review and approval. Join the more than 154 broker dealers and even more RIAs who have already approved Riskalyze!

FINRA Letters & Sample Output

As a reminder, FINRA’s guidance to member firms is to refrain from re-filing reports with FINRA that have already completed a Riskalyze review. At most, firms looking to document the process should simply reference Riskalyze’s existing FINRA review by reference number.

Proposal Generation & Investment
Roadmap Reports

IPS/INVESTMENT REPORT ROADMAP

FINRA Reference Number: FX2018-0618-0210/E
Link Reference: FR2018-0427-0206

FINRA LETTER

Download sample report

PROPOSED PORTFOLIO REPORT

FINRA Reference Number: FX2018-0618-0208/E
Link Reference: FR2018-0427-0217

FINRA LETTER

Download sample report

CURRENT PORTFOLIO REPORT

FINRA Reference Number: FX2018-0618-0212/E
Link Reference: FR2018-0427-0191

FINRA LETTER

Download sample report

Advisor Marketing Kit

FLYER

FINRA Reference Number: FR2020-1005-0001/E

FINRA LETTER

Download sample flyer

POSTER

FINRA Reference Number: FR2020-1005-0002/E

FINRA LETTER

Download sample poster

PRESENTATION

FINRA Reference Number: FR2020-1005-0003/E

FINRA LETTER

Download sample presentation

TEMPLATE PRESS RELEASE

FINRA Reference Number: FR2020-1005-0004/E

FINRA LETTER

Download sample press release

CLIENT FACING VIDEO

FINRA Reference Number: FR2020-1023-0481/E

FINRA LETTER

Watch a sample video or download the script

SOCIAL MEDIA GRAPHICS

FINRA Reference Number: FR2020-1005-0002/E

FINRA LETTER

Download sample graphic

Portfolio Stats & Individual Security Analysis

STATS REPORT

FINRA Reference Number: FR2021-0111-0004/E

FINRA LETTER

Download sample report

SIDE-BY-SIDE COMPARISON

FINRA Reference Number: FR2021-0111-0003/E

FINRA LETTER

Download sample report

SECURITY OVERVIEW REPORT

FINRA Reference Number: FR2021-0112-0194/E

FINRA LETTER

Download sample report

SECURITY COMPARISON REPORT

FINRA Reference Number: COMING SOON

FINRA LETTER

Enterprise Firm Disclaimers:

Enterprises can set standard disclaimers to be used in the areas listed below, as well as a universal disclaimer across the app. As an Enterprise customer, you also have the ability to create custom disclaimers at the individual financial professional level.

TRUSTED BY THE BEST

OUR METHODOLOGY

We believe in math, and we’re honored to work with tens of thousands of advisors who also believe in math.

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Frequently Asked Questions


Does Riskalyze integrate with other technology in our advisors’ tech stack?

Riskalyze has over 100 different integrations with industry technology providers. We’ve compiled a list of some of the most popular integrations advisors are using today.

Help me understand the methodology you’re using to come up with the Risk Number.

We get this question a lot which is why we’ve built out an entire resource to dig deep into our math and methodology. Check it out here.

Our advisors use Envestnet for proposal generation. How would Riskalyze work with Envestnet?

Great question! We have thousands of advisors who use Riskalyze in conjunction with Envestnet. Take a look at our Knowledge Base article outlining how the two systems work seamlessly together.

Is it possible for our home office to change or configure a version of the offering for our financial professionals?

Yes, we work with home offices all the time to implement firm-specific configurations. We’d love to chat with you about what you might be interested in changing. Contact a Specialist.

Do you have any products/features available for the home office to leverage?

We have an entire suite of products centered around the enterprise from compliance oversight resources to user management and business intelligence. We’d love to talk to you about what might be a fit for your organization. Contact a Specialist.

Are you a TAMP?

No, we generally partner with third party asset management providers, and allow them to put their strategies on Riskalyze. We’re a pure-play technology company and focus on serving all stripes of firms and advisors — those who leverage TAMPs, and those who manage client accounts themselves.

We have firm models our advisors use. Is it possible to include them on our advisor instances of Riskalyze?

Absolutely! For firms on an enterprise contract, we can surface your models to each of the advisors in your network.

Our firm uses Orion as its platform. How would Riskalyze work with Orion?

Great question! We have thousands of advisors who use Riskalyze as the premier proposal tool for Orion. Learn more here.

Can you pre-populate our firm’s disclosures for the advisors affiliated?

Yes! We have the ability to set disclosures at the firm level and can also customize at the advisor level for any advisor-specific disclosures.

What is the difference between the Investment Policy Statement and the Investment Report Roadmap?

All metrics, visuals, and disclosures are identical across both reports except for one minor change — the Investment Policy Statement has a signature page while the Investment Report Roadmap does not.

Can I get a copy of your SOC 2 report for my compliance team?

Yes, we can provide that to your team for review. We don’t post it on our public site, but you can request it here.

What are the differences between your Select and Elite products?

Take a look at our detailed product comparison here.