Documentation that matches how you actually operate
We align your ADV, website, and SOPs—so exam requests are answered fast and clean.
Book a 15‑min “Doc Map” call- Exam request → response templates included
- ADV–website–SOP crosswalk delivered
- Remediation plan drafts for common findings
- Editable, audit-ready formats
The Hidden Documentation Problem
Mismatched Documentation
Your ADV says one thing, your website says another. Exam teams notice everything.
Common Finding: Documentation Mismatches
Risk: remediation letters, follow-ups, and reputational cost. We fix the root causes.
40+ Hours of Your Time
DIY compliance documentation means 40+ hours you're not managing client assets.
From messy to exam-ready, in 3 steps
We map ADV, website, client docs, and current SOPs. You get a gap list with severity and owner.
We rewrite priority docs and provide request-response templates for likely exam asks.
Editable files, update cadence, and a 60-day revision window. Optional quarterly maintenance.
Who Actually Writes Your Documentation Matters
The Problem With Your Current Options:
- Lawyers who charge $500/hour but have never run operations
- Template sellers who've never worked at a real firm
- Compliance consultants who quote regulations but can't write procedures
- DIY attempts at 11 PM after client work
Why I'm Different: 10+ Years Inside Major Financial Firms
I build documents exam teams can verify and your staff can follow. You'll get an ADV–website–SOP crosswalk, request–response templates for likely exam asks, and editable SOPs that reflect how your firm actually operates.
Robinhood (2020-2022): The Hypergrowth Challenge
- Rewrote user guides during expansion from 10M to 22M users
- Created training documentation that onboarded 100+ new reps monthly
- Built escalation procedures that handled 3,000+ daily inquiries
- Managed operations team through most regulated period
TIAA (2014-2020): Enterprise-Scale Operations
- Advanced from entry-level to Senior Brokerage Consultant
- Rewrote department SOPs for federal audit compliance
- Documented processes for billion-dollar asset transfers
- Created training frameworks still used today
First Command (2023–2024): The Management Perspective
- Reduced account update turnaround from 3 days to 1 day
- Increased team processing rates by 120% through better documentation
- Implemented department‑wide training programs
- Built SOP change‑control & versioning workflow
- Created request‑response templates used in mock exams
My Licenses & Credentials:
FINRA Series 24 (Principal/Supervision) • Series 7, 9, 10 (General Securities)
The Bottom Line: I'm not teaching theory. I've written these documents under pressure, during audits, through mergers, and amid hypergrowth. I know what works because I've tested it at scale.
Document Types We Align
ADV Cross-References
Items 4, 5, 7, 8, 10, 14
Marketing & Website Disclosures
Performance procedures & compliance
Client Onboarding & Billing SOPs
Fee calculations, refunds, terminations
Trade Oversight Documentation
Best-execution procedures (if applicable)
Third-Party Management
Vendor oversight procedures
Books & Records Matrix
Retention procedures & compliance
Free 15-Minute Documentation Reality Check
Send me your most important client-facing document. In 15 minutes, I'll:
No sales pitch. Just honest feedback from someone who's written these for million-account platforms.
Get Your Reality CheckChoose Your Documentation Solution
- Documentation Mismatch Audit
- Compare ADV to website/materials
- Gap list with priority ranking
- 30-min discussion call
- Single Document Rewrite ($750)
- Full audit of all client-facing materials
- Rewrite everything to match operations
- ADV alignment check included
- 5 core SOPs based on your needs
- Request-response templates
- 60-day revision window
- Editable formats you own
- Quarterly review & change log
- 2 new/updated docs per quarter
- 48-hour ad-hoc review
- Regulatory update notifications
- Priority exam support
- Ongoing alignment maintenance
Frequently Asked Questions
What if I already have templates I bought online?
+Generic templates are like using TurboTax when you need a CPA. They might check the regulatory boxes, but they don't match YOUR actual operations. I've seen firms using templates that reference processes they don't even have. During my time at Robinhood, we tried templates first - they created more problems than they solved. I customize everything to match what you actually do, not what some template thinks you should do.
How long does the process take?
+- Quick Audit: 48 hours after receiving your documents
- Single Document Rewrite: 3-5 business days
- Complete Documentation Package: 2-3 weeks
I've written SOPs under extreme deadlines at Robinhood during our hypergrowth. I know how to move fast without sacrificing quality.
What happens if we get examined while working together?
+I've been through examinations from the operations side. If regulators knock while we're updating your docs, I'll prioritize whatever they're requesting first. I can turn around specific documents in 24-48 hours if needed. Think of me as examination triage support.
How are you different from a compliance consultant?
+Compliance consultants tell you what regulations say. I build the actual documents and processes you'll use daily. I spent 10 years inside firms actually writing and rewriting these procedures. I don't quote regulations - I create the paperwork that keeps regulators happy while actually helping you run your business.
Do you work with firms outside Colorado?
+Yes. Documentation is documentation. I work virtually with RIAs nationwide. The principles of good operations are universal - I learned them at national firms like TIAA and Robinhood.
What if our processes change after you write the SOPs?
+That's why I offer quarterly maintenance packages. But more importantly, I teach you the framework for updating documents yourself. You'll get my templates in editable formats, not PDFs. You own everything I create.
Limited Availability Notice
Why I Can Only Take 2 Implementation Projects This Month
Custom documentation requires focused attention per firm. Every document is written based on YOUR operations, not templates.
Current Availability (August 2025):
- Complete Documentation Packages: 2 spots remaining
- ADV-Website Crosswalks: 4 spots available
- Exam-Ready Retainers: 1 spot open for September start
Beta Client Opportunity
For the next 30 days, I'm offering 50% off my standard rates for firms willing to:
- Provide a testimonial after completion
- Serve as a case study for my website
- Refer one other RIA if satisfied
This isn't a marketing gimmick. I need real Colorado/regional RIA success stories to build my local presence.
Why Timing Matters:
Priority Given To:
- Firms with upcoming examinations (next 6 months)
- RIAs who recently changed custodians or technology
- Growing firms adding their first employee
Credentials & Systems
Active Licenses & Coverage
FINRA Licenses: Series 24 (Principal/Supervision) • Series 7, 9, 10 (General Securities)
E&O Insurance: Professional liability coverage in force
Familiar Systems
Schwab • Fidelity • Pershing • NetX360 • Salesforce • Envestnet • Other proprietary systems
- Fixed‑fee quotes up front
- Fewer exam follow‑ups
- Staff can actually follow SOPs
- Editable files you own
- Request‑response templates included
- 60‑day revision window
Limited Implementation Capacity
Custom documentation requires focused attention per firm
Expect 10–20 concrete fixes identified in week one
Claim Your Implementation Spot