RIA compliance calendar
Know what is due before it is late.
Luna seeds the obligations a registered adviser actually has, generates each occurrence on its own cadence, and reminds you before each one is due. This is the free tier, because a deadline you missed is the most expensive thing on this website.
Included in every tier, including the free Calendar plan
A screenshot of the product, with a demonstration firm’s data.
The compliance rule requires written policies reasonably designed to prevent violation of the Act, reviewed at least annually, and a designated chief compliance officer to administer them. The annual review is itself an obligation with a date, which is exactly the kind of thing that slips when it lives in somebody's head.
What it does
Seeded, not blank
A new account arrives with the obligations that fit your registration type, SEC, state or exempt reporting, already in it, plus the IARD renewal dates and reviewed deadlines for the states you list. You are editing a calendar, not building one from a blank month.
Occurrences generated on cadence
An annual obligation creates next year's instance by itself. A quarterly one creates four. You set the cadence once and stop thinking about it.
Reminders on each obligation's schedule
Each obligation carries its own reminder schedule, from sixty days out for the annual compliance review to three days for the monthly trade reconciliation, and you can change it. A reminder goes to the person an occurrence is assigned to, or to the role that owns it.
Overdue is a state, not a guess
Once the due date and its grace period pass, the instance is marked overdue and counted at the top of the calendar. Follow-ups go out until it is done, and after a week the CCO is told too. Nothing quietly stays pending forever.
Each obligation says where it comes from
An entry carries the rule or the internal policy behind it, so the annual review is visibly Rule 206(4)-7 and the trade reconciliation is visibly your own policy.
Your own events too
Board meetings, a mock exam, a custody surprise examination, whatever your firm's year actually contains, alongside the regulatory obligations.