Investment Advisor Compliance Agent

Marketing review agent pulls SEC data on registered investment advisors and generates a report comparing public data (websites, socials) to both SEC company declarations and SEC marketing rules, highlighting low, medium and high areas of non-compliance.

Investment Advisor Compliance Agent

How It Works

The agent uses a 7-node LangGraph workflow to:

  1. Retrieve SEC Data - Downloads Form ADV filings and parses regulatory disclosures (AUM, services, fees, disciplinary history)
  2. Crawl Website - Extracts content from up to 20 pages, prioritizing compliance-critical sections
  3. AI Compliance Analysis - Reviews content against SEC Marketing Rule 206(4)-1 using structured prompts
  4. Form ADV Reconciliation - Compares website claims against official SEC filings to catch discrepancies
  5. Anti-Hallucination Validation - Cross-checks all factual claims against EDGAR data to prevent AI fabrication
  6. Generate Reports - Produces professional reports in Markdown, PDF, and DOCX formats
  7. Deliver via S3/CloudFront - Uploads to AWS with CDN URLs and 5-year retention

Key Features

  • Automated SEC Rule 206(4)-1 Compliance Review - Identifies violations in general prohibitions, testimonials, endorsements, and performance advertising
  • Form ADV Cross-Verification - Flags material discrepancies (inflated AUM, undisclosed services, fee inconsistencies)
  • Severity & Priority Classification - HIGH/MEDIUM/LOW severity with IMMEDIATE/URGENT/IMPORTANT/ROUTINE timelines
  • Anti-Hallucination Layer - Validates all SEC filing claims against actual EDGAR data
  • Multi-Format Reports - Markdown, PDF, and DOCX with executive summaries and actionable recommendations
  • CloudWatch Observability - Structured logging, custom metrics, cost tracking, and performance monitoring

Tech: LangGraph · Playwright · PDFplumber · Python