You can self-enable Form ADV / SEC compliance features anytime — no support ticket needed.
Where to enable it:
- Click the Settings gear (top-right)
- Scroll to the Compliance & Contracts section
- Click View Compliance Documents under the Compliance Docs card
- You'll see a card titled "Are you a Registered Investment Adviser?" — click Enable Form ADV features
That's it. The Form ADV Part 2 Brochures uploader appears immediately, and the SEC Form ADV auto-retrieval search becomes available. SEC compliance checking activates on every report you run from that point forward.
Who should turn this on: Only firms that file Form ADV themselves — solo RIA owners (LLC / sole-prop / S-corp), small advisory shops, or CPA firms holding an RIA registration. If you're a W-2 investment adviser at someone else's firm (Bernstein, Morgan Stanley, Edward Jones, etc.), your firm files Form ADV — not you. Leave this off; you only need standard expense reimbursement features.
What it unlocks:
- Form ADV Part 2 Brochures uploader (manual upload OR SEC auto-retrieval by firm name)
- Per-report SEC compliance checks against your Form ADV (extracts expense categories + allocation rules + cites exact Form ADV sections)
- Vendor contract review — match each invoice to its governing contract, track cancellation deadlines, get renewal alerts before auto-renew
- Pro-rata fund-vs-adviser expense splitting with full audit trail
If you can't find the toggle: The Compliance Docs card is hidden for I-Basic tier accounts. If you're on I-Basic and need RIA features, upgrade your subscription first — then the Compliance & Contracts section appears in Settings.
To turn it back off: Currently the toggle is one-way in the user UI. If you enabled it by mistake or need to disable it, email rob@expensebot.ai and we'll flip it from the support side.