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Free compliance audit

How much social compliance exposure does your firm carry?

We'll build you a custom risk snapshot — your firm's organic social footprint, where supervisory gaps typically open up, and how peer firms handle them under SEC and FINRA.

SEC Rule 17a-4  ·  FINRA  ·  WORM Archive
  • Your LinkedIn footprint, sized
    Estimated total of LinkedIn-associated employee profiles tied to your firm — and how much social activity they generate each month.
  • Estimated supervision exposure
    A read on the share of identified profiles that appear to fall into roles commonly subject to SEC/FINRA supervision and electronic-communications retention requirements.
  • Coverage gap, with a path forward
    Where the gaps sit today — and a remediation plan our team puts together with you.
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Trusted by compliance teams at leading regulated firms
What you'll see

A read on where your firm sits today — and what changes when supervision is built in.

Every snapshot is built by our team using public organic-social signals tied to your firm at the org level. We pair the data with regulated-industry benchmarks and a short read-out of where a supervised program would close the gap. We don't share, sell, or publish any of it.

Common questions

Quick answers before you submit

Is this an audit of individual employees?

No. The snapshot looks at aggregate firm-level signals — total volume, patterns, and benchmarks. We don't identify individuals or share names.

How long does it take to receive the report?

Most snapshots go out within one business day. We build each one by hand, so larger or more complex firms can take 48 hours.

Is the report obligation-free?

Yes. You'll get the snapshot whether or not you take a follow-up call. If you do want to chat about what a supervised program could look like, we're happy to.