Compliance automation for advisory firms.
Zomma runs cross-system periodic reviews on schedule. ADV amendments, KYC refresh, beneficiary checks, RMD prep, IPS drift, Reg BI documentation. Every action recorded in an append-only audit log designed for SEC Rule 204-2.
Compliance work doesn't scale by hiring.
Quarterly review week is six logins, three spreadsheets, and a week of someone's life — verifying risk profiles, IPSes, beneficiaries, and Reg BI documentation across every system. Regulatory workload grows; headcount stays flat. Knowledge of what was checked, when, and why walks out with every departure.
of advisor time spent on back-office and compliance work.
Kitcesof operational decisions are never written down.
Internal researchReg BI, suitability, and IPS reviews carry per-client documentation burden.
SECminimum retention under Rule 204-2. Zomma logs every action for that long.
SEC Rule 204-2Cross-system. On schedule. Logged for the CCO.
- 01
Schedule the review.
Quarterly, semi-annual, annual, or trigger-based. Zomma starts the workflow at the right time across the right book of business.
- 02
Pull from every system.
Redtail or Wealthbox for relationships, Black Diamond or Orion for performance, eMoney for plans, custodian portals for positions, carrier portals for in-force coverage.
- 03
Run the checks.
Risk profile currency, IPS consistency, beneficiary alignment, suitability per state, ADV currency, KYC freshness, RMD eligibility, Reg BI documentation completeness.
- 04
Surface drift.
Anything inconsistent gets queued for an advisor or CSA — not buried, not auto-resolved.
- 05
Log everything.
Append-only audit ledger captures the full chain: what Zomma checked, what it found, what the human decided, and when. Designed for SEC Rule 204-2.
Built for the regulator's eye.
Reads the whole stack.
CRM, performance, planning, custodian, carrier, e-sig, document vaults — Zomma sees the full picture without an integration project.
Audit trail by default.
Every action recorded in an append-only ledger with 7-year retention. Built for SEC Rule 204-2 and state-level equivalents.
Surfaces drift, never resolves it silently.
Anything ambiguous gets queued for a person. The agent never makes a regulatory decision on its own.
Built to pass your CCO's review. Append-only audit log with 7-year retention. Designed for SEC Rule 204-2 and state equivalents. Per-tenant data isolation, AES-256 encryption, human approval before any final action.
What CCOs ask first.
Periodic review (quarterly, semi-annual, annual), ADV amendments, KYC refresh, beneficiary checks, suitability, IPS drift, RMD prep, Reg BI documentation logging, and state-level filings. New checks are added in days.