Custom Document Review
ADV Part 2 review, client letter compliance, and custom workflow configuration for your firm's specific regulatory requirements.
Document Flagging
Beyond marketing — compliance review for all documents
Independent advisors produce a wide range of documents that carry compliance obligations — from Form ADV Part 2 brochures to annual client letters and fee disclosure statements. Each document type has its own accuracy requirements and disclosure standards.
Zeplyn's document review module extends beyond marketing materials to support structured review workflows for ADV filings, client letters, fee schedules, and any firm-specific compliance documents.
Document types supported
- Form ADV Part 2A brochure — annual update review and consistency check
- Form ADV Part 2B brochure supplement — individual representative disclosures
- Client letters — annual fees, material changes, service updates
- Fee disclosure statements and billing summaries
- Investment policy statements and client onboarding materials
- Custom document types with configurable review rules
Structured review for every document type
ADV Part 2 review
Checks ADV Part 2A for consistency between fee disclosures, conflict descriptions, and actual firm practices — flags gaps that SEC exam staff commonly scrutinize.
Year-over-year comparison
Compare current ADV against the prior year version. Material changes are highlighted for your annual update review and required client notification.
Configurable review rules
Define firm-specific prohibited phrases, required disclosures, and language standards. Custom rules are applied consistently across every document submission.
Revision tracking
Track document versions through the review cycle. See what changed between drafts, who made changes, and what flags were resolved before final approval.
Risk-tiered flagging
Flags are categorized by severity — critical (likely rule violation), advisory (requires judgment), and informational. Your CCO focuses time on what matters most.
Approval with cited basis
Every approval records the reviewer's disposition on each flag — including accepted-as-is, revised, or overridden with reasoning. Provides a complete audit trail.
From draft document to compliant, approved record
Upload the document
Submit a PDF or DOCX. Zeplyn identifies the document type — ADV Part 2, client letter, fee disclosure, or custom type — and routes it to the appropriate review ruleset.
Automated flagging with citations
Each flag references the relevant rule, required disclosure, or firm-specific policy that the content may not satisfy. Flags are color-coded by severity for efficient review.
CCO review and revision
Your compliance officer reviews each flag, decides the disposition, and either requests revision or approves the document. The complete review history is logged automatically.
Archived final version
The approved document and its complete review history are archived together. If an examiner asks to see how your ADV was reviewed before filing, you have a complete record ready.