Written by the Zeplyn team for compliance officers and operations leads at independent advisor practices.
A working interpretation of Reg BI's documentation standard, written for compliance officers at independent RIAs.
Read article
A field checklist of the fields, disclosures, and acknowledgements that should appear on every meeting record.
Read article
A frank technical write-up of where agentic AI meets the floor of a wealth-management compliance record.
Read article
Field hygiene, activity logging, and the layout choices that matter most for a CRM advisors actually use.
Read article
A short setup guide for advisor teams of 1 to 20, with the object model decisions that matter on day one.
Read article
Rule 4512 written for advisors and compliance officers who need to file the record, not write the law.
Read article
A copy-paste meeting summary template that lines up with Form ADV Part II documentation requirements.
Read article
A practitioner survey on how many hours per week documentation eats inside small advisor practices.
Read article
Where the agent helps and where the advisor stays in the driver's seat during suitability documentation.
Read article
A measured walk through what agents do well, where they fail quietly, and what to ask a vendor.
Read article
The numbers and the stories from a six-week beta with five advisors at two RIA practices.
Read article
Auth, write-back patterns, and the small things that decide whether the integration sticks.
Read article
A practical examination preparation checklist that turns the archive into a defensible package.
Read article