Answer 21 yes/no questions about your operations: custody, ERISA, proxy voting, performance fees. The system knows what applies to you -- and what doesn't.
Day 1
AI generates your manual from actual rules
37 policies generated from 48 SEC requirements across 14 rules -- including Reg S-P, 206(4)-7, and the latest Division of Examinations priorities. No aspirational promises. Just what the regulations require.
Day 1
Tasks auto-assign from your manual
Every policy generates compliance tasks with designated owners (CCO, CFO, COO). Completing a task IS the evidence. No separate documentation step.
Quarterly
Reports and billing run proactively
Every advisor reviewed across 8 dimensions. Every fee independently verified. Exceptions flagged before they become findings -- not after an examiner asks.
Exam Day
The examiner asks. You already have the answer.
Audit trails, task completion logs, advisor acknowledgments, billing reports, CRD monitoring -- all documented, all exportable, all timestamped. Your system was working before they walked in the door.
FOR ADVISORS
Quarterly Practice Snapshots. Automated.
Every quarter, you see your book at a glance -- growth, positions, compliance flags, year-over-year trends. Add notes. Acknowledge findings. Done.
Q4 2025 Practice Snapshot
YOUR NUMBERS
305
Accounts
+3%
$122M
AUM
+8%
100
Households
--
$401K
Avg Size
+5%
POSITION SUMMARY
Concentrated Positions
10down 2
Inactive Accounts
3down 1
ABC Share Funds
8--
Options Exposure
2new
Margin Accounts
1--
CCO
On Concentrated Positions:
"Smith account at 28% AAPL -- client aware, documented in CRM."
THE SYSTEM AT WORK
Year-over-year progress across the firm
ABC Shares
215 positionsfrom 267 positions
Down 19%
Accounts in Drift
53 accountsfrom 84 accounts
Down 37%
Margin Exposure
$11.8Mfrom $12.4M
Down 5%
Concentrated Holdings
156 holdingsfrom 172 holdings
Down 9%
Options Positions
42
Complex Securities
28
Illiquid Alternatives
15
Tracked continuously
KNOWLEDGE SYSTEM
Built from actual regulations. Not a law firm template.
48 SEC requirements. 14 rules. Tasks generated from policies. Policies generated from regulations. The task log is your 206(4)-7 evidence.
Compliance Manual12 of 37 viewed
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Code of Ethics
All
Social Media
Advisor
Cybersecurity
All
Trading
Advisor
Gifts & Ent.
All
Communications
Advisor
YOUR SECTIONS
Outside Business Activities
Off-Channel Communications
NEW
Marketing Rule Updates
NEW
RUNNING IN THE BACKGROUND
The compliance program runs itself.
Billing Verification
Every fee independently calculated and compared. 5,300+ accounts per cycle.
CRD Monitoring
Registrations, disclosures, and OBAs tracked with change detection.
Web Monitoring
Advisor websites scanned for FINRA violations. HTML snapshots stored.
No passwords. Passwordless email login with role-based access.
FOR LEADERSHIP
Firm-wide visibility. Every morning.
Daily money movement at 6 AM ET. Weekly summaries Saturday morning. No chasing updates.
Executive Dashboard
Firm AUM$2.61B
Net Flows (Today)+$1.2M
Reports Acknowledged32 / 37
Manual Acknowledgments35 / 37
Billing Exceptions3 open
CRD Alerts0 pending
Delivered to leadership at 6 AM ET, Tuesday through Saturday
BUILT TO SCALE
Enterprise architecture. Not a prototype.
Every system is built with firm-level data isolation, role-based access control, and row-level security at the database layer. 97 tables scoped by firm. Hostname-based routing. Configurable branding, compliance settings, and task assignments -- because no two firms operate the same way.
Firm-level data isolationRole-based access21 config flagsRow-level security
Proactive compliance. So you never scramble for an exam.
Most RIA compliance programs are reactive -- scrambling to pull documentation when an examiner asks for it. MSBOS is proactive: your manual generates tasks, completing tasks generates evidence, and the system runs continuously so the documentation exists before anyone asks.
Built by a working CCO who runs these systems on a multi-billion-dollar RIA every day. Not a software company guessing at what compliance looks like.
PULSEby MSBOS
Turn LinkedIn into a lead engine.
Every morning, Pulse scans 15+ industry sources, scores articles across 9 dimensions, and generates ready-to-post LinkedIn content in your voice. Prospects click through to your branded page with calculators, articles, and lead capture -- all built automatically.
