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
Proposal Generation & Investment
IPS/INVESTMENT REPORT ROADMAP
FINRA Reference Number: FX2018-0618-0210/E
Link Reference: FR2018-0427-0206
PROPOSED PORTFOLIO REPORT
FINRA Reference Number: FX2018-0618-0208/E
Link Reference: FR2018-0427-0217
Advisor Marketing Kit
TEMPLATE PRESS RELEASE
FINRA Reference Number: FR2020-1005-0004/E
CLIENT FACING VIDEO
FINRA Reference Number: FR2020-1023-0481/E
Portfolio Stats & Individual Security Analysis
FINRA Reference Number: FR2021-0111-0003/E
SECURITY OVERVIEW REPORT
FINRA Reference Number: FR2021-0112-0194/E
SECURITY COMPARISON REPORT
FINRA Reference Number: COMING SOON
Enterprise Firm Disclaimers:
Risk Questionnaires: Whether they launch a Risk Questionnaire from Riskalyze or send it via email, your disclaimers will always appear at the bottom of the screen.
Emails: Client-facing emails sent directly from Riskalyze always include your relevant firm disclaimer.
Portfolios: Customize additional disclosure language specific to portfolio composition or strategy.
Reports: Customize additional disclosure language specific to report footers, and even add a custom page to Investment Policy Statements and Investment Roadmap Reports.
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Frequently Asked Questions
Does Riskalyze integrate with other technology in our advisors’ tech stack?
Help me understand the methodology you’re using to come up with the Risk Number.
Our advisors use Envestnet for proposal generation. How would Riskalyze work with Envestnet?
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.