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RIA compliance automation

RIA compliance work, automated.
Every run on the record.

Caddi runs the compliance operations your team does by hand today: filing signed documents to books and records, tracking Form ADV and disclosure delivery, collecting KYC documents at onboarding, and checking fee billing before it goes out. Every run is logged, so the evidence for your next exam builds up as the work happens. Your CCO keeps the program and the judgment calls.

SOC 2 Type II150+ integrationsEvery run logged

Help me automate signed agreement to books in Docusign and Box. Caddi builds the loop and runs it.

Trusted by leading firms
The case for automating compliance operations

The exam asks for evidence.
Most of it is paperwork.

Most of an RIA's compliance workload is not judgment. It is filing, delivering, logging, and proving you did all three. Run by hand, that evidence is scattered across inboxes and folders. Run as a workflow, it is on the record the moment it happens.

  • 01

    Evidence assembled as you go

    Every run records what it touched, when, and what it produced. When an examiner asks for delivery records or a books-and-records sample, you export them instead of reconstructing them.

  • 02

    The same procedure, every time

    Written procedures only protect you if they are followed. Caddi runs the procedure the same way for every client, so exceptions show up as exceptions instead of disappearing into a busy week.

  • 03

    Your CCO's time on judgment

    Chasing signatures and checking folders is not what you hired a compliance officer for. Hand the operational load to automation and keep people on reviews, testing, and the calls only they can make.

How it works

Caddi AI Agents discover, automate, and govern back-office work.

Discover the repetitive work across existing tools.
Automate the work by delegating to an AI agent.
Govern every workflow and every decision an agent makes.
Use Cases

The compliance paperwork, on autopilot.

Caddi learns the recurring compliance tasks your operations and compliance team run between systems and turns each one into a logged, repeatable workflow.
  • 01/ 06Use case

    File signed documents to books and records

    When an advisory agreement, IPS, or account form comes back signed, Caddi names it, files it to the household's records folder, and logs the date on the client record.

    Typical stack
    • DocuSign
    • Box
    • Salesforce
    • Wealthbox
Workflow library

Real records workflows RIAs automate with Caddi.

Live workflows from the Caddi library that file and archive the documents an exam asks for. Open one to see the tools it touches and the steps it runs.
View all ria compliance workflows

The forms these workflows run on:Form ADVForm ADV Part 2AADV annual amendmentForm U4Form U5

Integrations & Apps

Runs across the systems your records live in.

  • Salesforce
  • Wealthbox
  • Box
  • DocuSign
  • Schwab
  • Fidelity
  • Global Relay
See all integrations
Benefits

Compliance operations, built to your bar.

  • 01

    Built by your operations team

    Your team records the workflow once. No engineers, no IT ticket, no new system for advisors to learn.

  • 02

    Deterministic runs on client records

    Verified code files and logs via API, the same way on every run, with any model step scoped and reviewable.

  • 03

    An audit trail for every run

    Who built it, what it touched, what it produced, and when. Ready to export when the exam request arrives.

  • 04

    Inherits your team's permissions

    Caddi works with the access your staff already have. No new privileged service accounts to govern.

Security & Controls

Built to pass your compliance and IT review.

SOC 2

Attested controls. An audit trail you can defend.

Every workflow, every input, every output is logged and reviewable. Your CCO and IT team can walk through any run end-to-end: who built it, what it touched, and what it produced, all on the record.

AI at design time, code at runtime

No autonomous AI acting on your data.

AI helps build the automation once. What ships and runs every day is deterministic code calling your systems via API, repeatable and logged, with any model step scoped and reviewable. OpenAI and Anthropic calls use zero-data-retention terms.

Put your compliance operations on the record.

See how RIAs use Caddi to run the filing, delivery, and evidence work behind their compliance program, in a 30-minute walkthrough on your own workflow.