The Opportunity

Compliance at U.S. RIAs, broker‑dealers, and wealth fintechs still runs largely on manual review — analysts reading marketing materials line by line, scanning communications for keywords, and reviewing trades and trade requests by hand. Across more than 25,000 firms, operational costs are significant, and regulatory exposure is even greater.

Global RegTech spend is projected to grow from roughly $12B to more than $66B over the next decade, with the US growing to $32B. The teams that ship credible, audit‑ready platforms in the next 18 months will define the category. We intend to be one of them.

The Venture

The answer is not another rules engine. We are building an explainable AI platform that reasons like a senior compliance officer, cites firm policy and SEC/FINRA regulations for every decision, and produces audit‑ready evidence on demand — across marketing, communications, trading, policy, audit, and filings.

The platform i...