Compliance & books-and-records support for RIAs
RIA compliance support means the records an exam requests already exist as system output: client communications archived, disclosure deliveries evidenced with receipts, documents versioned and retained under policy, and every access on an audit trail. InvestorPortaLPro doesn't practice compliance for you — it makes your practice's records exam-ready by default.1
What we offer
Exams are records requests
When the examiner asks what was sent to whom and when, firms with recorded operations answer from a query. Firms with inboxes and file shares answer from a reconstruction project.
Deliveries evidenced
Every statement, disclosure, and report delivery confirmed and on the record.
Trails by default
Access, changes, and communications logged in real time, tamper-evident.
Retention that holds
Policy-based schedules and holds, with 17a-4(f)-compliant storage options.
Compliance features
Recordkeeping as a byproduct of operating
Because delivery, messaging, and documents run through the platform, the books-and-records posture assembles itself — no parallel compliance filing effort.
Structured exports hand your CCO and counsel exactly what a request needs: scoped, timestamped, complete.
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Disclosure evidence
ADV and disclosure deliveries with receipts per client.
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Archived communications
Portal messaging retained and searchable under policy.
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Versioned documents
Every agreement and report version preserved with its history.
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Holds & schedules
Legal holds and retention rules applied at the platform level.
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Exam exports
Scoped, structured extracts for CCO and counsel on demand.
Bespoke investment software
Be boring in the best way
The best exam is a short one. Records that answer instantly make examinations short — and reputations sturdy.3
See it in action
A look inside the platform
Real screens from the InvestorPortaLPro platform — relationship pipelines, engagement analytics, controls, and reporting. Explore the full interactive demo →
Why IPP
Why choose a boutique investor software firm?
There are many reasons to choose InvestorPortaLPro. We are affordable yet sophisticated, 100% dedicated to investor portals and IR software, and we spend most of our revenue on research and development to build a better platform for our customers and their investors.
Our vision & dreams
“We shall build good software here, at a profit if we can, at a loss if we must, but always good software.” InvestorPortaLPro aims to be the most user-friendly, affordable, and modern investor platform on the market for firms of all sizes — including public companies, private companies, private equity, real estate, banks, wealth managers, and asset servicers.
Our people, ethics, and experience
100% of our team has experience designing, building, and servicing investor portals. We are confident you will not find a more honest, straightforward, and down-to-earth team in the space. We are also hiring — contact us about joining our team of investment software professionals.
100% customer success & retention
Every implementation we have done is unique, and all have been success stories for our clients.4 Our organization is founded on the simple belief that we are successful when our clients are completely happy. We offer flexible pricing, financing options, and certain guarantees in our contracts — for your success and ours.
R&D commitment
IPP develops technically advanced investor software designed to be useful and user-friendly. Host it yourself (on premises) or with any provider such as Azure or Amazon AWS — IPP is built on open source software with full source-code access, and a large majority of our budget goes to research and development.
Common questions
RIA Compliance Support, answered
Questions we hear most from registered investment advisors and their clients. For the complete reference, visit the investor portal software knowledge base.
What is RIA compliance support software?
Platform-level recordkeeping that makes an RIA's operations exam-ready by default: evidenced deliveries, archived communications, versioned documents, retention policies, and audit trails — exportable in structured form for the CCO and counsel.
Does it replace our compliance program or CCO?
No — policies and judgment remain yours. The platform supplies what programs run on: complete, evidenced, retrievable records.
How does it evidence disclosure delivery?
Every disclosure and document delivery logs with confirmation and read status per client — the proof examiners ask for first.
What retention controls exist?
Policy-based schedules, legal holds, and tamper-evident history, including SEC Rule 17a-4(f)-compliant storage options through hosting partners.
What happens when an exam letter arrives?
Requests become scoped queries: communications, deliveries, and documents for the period extract in structured form in hours.
Does this cover client messaging?
Portal messaging is archived and searchable under policy — sensitive conversations stay on compliant rails instead of personal channels.
Trusted with 100% client retention4
See what our clients say about InvestorPortaLPro on Trustpilot, Capterra, GetApp, and Software Advice.
Ready to discuss ria compliance support for your firm?
100% satisfaction
We have never lost a client.4 We take the time to listen to your needs before selling you software. We appreciate your time and look forward to speaking with you about potentially partnering with us. We value your privacy and will never sell or provide your information to third parties.
Share your goals
Thank you — we received your request.
Our team will reply within one business day. Prefer to talk sooner? Schedule a demo or call NY: +1-212-658-0862.
Notes
- Product names referenced are trademarks of InvestorPortaLPro; capabilities described on this page reflect the InvestorPortaLPro platform. ↩
- Secure delivery, e-signature, tracking, and retention features support your regulatory workflows; they do not constitute legal or compliance advice, and filing obligations remain with the issuer and its counsel.
- SOC 2 Type II controls operate as part of IPP's security program; certain certifications and assurances (including SEC Rule 17a-4(f) compliant storage) are provided through hosting partners. Current audit documentation is shared under NDA during vendor due diligence. ↩
- Client retention figure reflects InvestorPortaLPro's client history since founding in 2016. ↩
- Pricing is published at investorportalpro.com/investor-portal-pricing.html and is subject to change; enterprise and bespoke engagements are quoted individually.
- Implementation timelines vary with data migration scope, integrations, and branding requirements.