How does Skematic support registered investment advisers?

Skematic helps RIAs organize firm, team, and employee compliance in one system. Common use cases include certifications, preclearance requests, personal trading oversight, trade surveillance, compliance calendars, case management, policy-related workflows, and audit-ready recordkeeping.

What compliance workflows can an RIA manage in Skematic?

Depending on the firm’s configuration and data sources, RIAs can use Skematic to manage: Employee certifications. Preclearance requests. Personal trading oversight. Trade surveillance. Compliance calendars. Policy-related requirements. Alerts and exception review.

Does Skematic replace every other compliance tool?

Not necessarily. Skematic is designed to provide a central home for core compliance activity while allowing firms to maintain specialized tools where they are necessary or preferred. The goal is a deliberate technology stack with a clear center of gravity, rather than accidental fragmentation across disconnected systems.

Is Skematic suitable for private equity and hedge fund managers?

Yes. Skematic is designed for private equity firms, hedge funds, alternative investment managers, and other investment organizations with RIA or investment adviser compliance responsibilities. The relevant workflows depend on the firm’s operating model, employee obligations, trading activity, policies, and data sources.

Can Skematic connect to broker data?

Skematic supports direct API connections with brokers where available, along with other ingestion methods such as OCR for supported documents and statements. Coverage depends on the broker, account, document type, and connection method. Confirm specific broker coverage during evaluation.

How does Skematic help with SEC examinations?

Skematic helps compliance teams maintain structured, timestamped, and exportable records of compliance activity. It can make it easier to retrieve the history behind requests, reviews, decisions, alerts, and cases. Skematic does not guarantee compliance or a particular SEC examination outcome. The firm remains responsible for its compliance program, policies, controls, and professional judgment.

Is Skematic only for large RIAs?

No. Skematic can support firms across different sizes and operating models. The right configuration depends on the firm’s employee population, compliance responsibilities, trading activity, data sources, and existing technology stack. In fact, Skematic Starter is purpose-built for firms just starting to built out a compliance program and looking for best practice templates.

Can Skematic scale as our firm grows?

Yes! As an RIA grows, compliance responsibilities increase across employees, accounts, activity, entities, and regulatory obligations. Manual processes that worked for a small team become harder to oversee and more dependent on individual knowledge. Skematic helps firms create repeatable workflows that can continue as the organization changes. That means: Fewer responsibilities managed through disconnected spreadsheets. Clearer ownership of recurring compliance work. More consistent employee participation. Better visibility into outstanding requests and potential exceptions. More organized records when the firm changes personnel, consultants, systems, or processes.

RIA Compliance Software

Bring your RIA compliance program into one connected system.

Skematic gives registered investment advisers a central place to manage the policies, workflows, employee obligations, trading activity, and records that keep a compliance program moving.

From employee certifications and preclearance requests to trade surveillance, compliance calendars, and case management, Skematic connects the work that is often scattered across spreadsheets, email, shared drives, broker statements, and separate point solutions.

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Use Cases and Benefits

What RIAs use Skematic to manage

Systematize the compliance program

Replace scattered administrative processes with a structured operating environment for firm, team, and employee compliance.

Organize recurring compliance responsibilities and deadlines.

Assign ownership across the compliance team.

Connect activities to the relevant policy or code of ethics requirement.

Maintain a consolidated history of compliance activity.

Make employee compliance easier to complete

Employee participation is more reliable when the process is clear, fast, and simple to use.

Manage employee certifications and attestations.

Support preclearance requests and approvals.

Give employees a straightforward way to respond to compliance requirements.

Reduce the administrative friction that causes tasks to be delayed or missed.

Apply consistent rules to employee trading activity

Personal trading oversight requires more than collecting statements and checking boxes. Skematic helps compliance teams apply the firm’s rules more consistently across employee activity and requests.

Review employee trades and related activity.

Apply configurable rules to support more granular analysis.

Cross-check requests and activity against the firm’s code of ethics.

Surface potential exceptions for human review.

Create records that are easier to review

Compliance teams need more than a completed task. They need to understand what happened, when it happened, who reviewed it, and which policy or requirement was involved.

Maintain timestamped records of compliance activity.

Preserve a threaded history of requests, reviews, decisions, and cases.

Make supporting information easier to locate.

Export records for internal reviews, audits, and regulatory examinations.

FIRMS SUPPORTED

Compliance software for RIAs and investment firms.

Skematic supports a range of investment firms with employee, trading, policy, workflow, and oversight requirements.

Registered Investment Advisers

For SEC-registered and other investment advisers managing employee compliance, personal trading, certifications, preclearance, surveillance, and ongoing regulatory obligations.

Private Equity Firms

For private equity firms and private fund managers with investment adviser or RIA compliance responsibilities across employees, funds, portfolio activity, and firm-level oversight.

Hedge Funds

For hedge fund managers that need structured employee compliance workflows, trading oversight, certifications, preclearance, and organized compliance records.

Asset Managers

For asset management firms managing employee obligations, personal trading activity, recurring certifications, policies, reviews, and compliance documentation.

Wealth Managers

For wealth management firms and investment management practices that need a simpler way to administer employee compliance and maintain consistent records as the organization grows.

Family Offices

For single-family and multi-family offices with investment activity, employee obligations, personal trading requirements, and compliance responsibilities that may otherwise depend heavily on manual processes.

Alternative Investment Managers

For managers operating across private funds, credit, real assets, venture capital, and other alternative investment strategies with structured compliance requirements.

Institutional Investment Firms

For investment organizations that need repeatable workflows, clearer ownership, and a reliable record of compliance activity across teams and entities.

Core Functionality

How registered investment advisers use Skematic

Firm-level compliance oversight

Skematic gives compliance teams a current view across firm, team, and employee responsibilities. Instead of relying on separate trackers to understand what is complete, overdue, pending, or under review, teams can manage core compliance activity from a connected system.

Employee certifications and code of ethics compliance

RIAs use Skematic to administer recurring certifications and employee obligations while maintaining a record of completion. Employees can access and respond to requirements without navigating a complex compliance environment.

Personal trading and preclearance

Skematic supports the process around employee trading requests and reviews, including preclearance workflows and the evaluation of activity against firm rules. Where supported, broker data can be connected through direct API integrations or other available ingestion methods.

Trade surveillance and exception review

Skematic helps compliance teams move beyond manual, transaction-by-transaction review by applying the firm’s rules to employee activity and surfacing potential issues for investigation.

The platform can support analysis of areas such as excessive trading and holding-period requirements, subject to the firm’s configured rules and available data.

Compliance calendars and recurring obligations

Compliance calendars provide a structured way to manage recurring requirements, deadlines, reviews, and ownership across the firm.

Case management and resolution

When a potential issue requires investigation, Skematic helps compliance teams organize the related activity, documentation, decisions, and resolution in a central record.

Why Skematic

Why compliance teams choose Skematic

More than separate modules

Skematic was built as an interconnected compliance system rather than a collection of products placed behind separate tabs. Policies, calendars, certifications, requests, surveillance, and cases are designed to work together.

Built from industry experience

The Skematic team helped shape the first generation of employee trade surveillance technology and brings more than 20 years of experience to the way modern compliance workflows are designed.

Modern technology without unnecessary infrastructure

API connections and OCR-based ingestion can reduce the infrastructure overhead associated with older, more manual processes, subject to the data source and supported connection method.

Designed for employee adoption

Compliance processes only work when employees complete them. Skematic is designed to make certifications, preclearance requests, and other employee obligations straightforward to understand and complete.

Compliance Tech

Compliance Streamlined: How a PE firm Turned Manual Workflows into an Efficient Operation

A CT-based private equity firm with $12B in AUM faced heightened compliance obligations around MNPI. With a lean team and growing demands, the firm sought a better way to manage compliance workflows. Today, the compliance team relies on Skematic daily for efficiency, audit readiness and peace of mind.

I feel so much better knowing that as long as the process is in Skematic, it’s going to get done. I sleep better at night.

CCO / CFO

PE Firm | $12B AUM

Build a more connected RIA compliance program

Your compliance program should not depend on scattered spreadsheets, disconnected inboxes, or institutional knowledge held by one person. Skematic gives RIAs a structured way to manage core compliance responsibilities, support employee participation, review activity, and preserve the record behind the work.

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Industry 101

RIA compliance software is technology that helps registered investment advisers manage recurring compliance obligations, employee certifications, personal trading, preclearance, surveillance, cases, policies, calendars, and related records.

Skematic provides a connected environment for managing these activities and preserving the context behind them.