Invoice + Contract Compliance for RIAs
Upload vendor agreements, then run Compliance Check on a report. ExpenseBot links matching expenses to the source contract, shows extracted cancellation deadlines for review, and runs Form ADV analysis with supporting citations.
Join 50+ RIAs automating Form ADV compliance with ExpenseBot
🎯 NEW: Form ADV Auto-Retrieval - Enter your firm name and we'll pull your Form ADV directly from the SEC database
Vendor contract review: Upload agreements once, then run a report compliance check to link matching expenses back to the source contract and review extracted cancellation deadlines.
The Dual Compliance Nightmare — Solved
Keep the source agreement beside the expense decision. ExpenseBot links confident report matches and keeps extracted cancellation timing visible for review.
From Invoice + Contract to Full Compliance in 6 Steps
Capture the expense, run Compliance Check, and review the source contract alongside Form ADV allocation evidence.
Upload Invoice
Drop PDFs or forward emails
Upload Contract
AI extracts vendor + renewal terms
AI Parses
Extracts vendor, amount, line items
Into Spreadsheet
Expense is ready for review
Run Compliance
Form ADV allocation + citations
Contract Link
Matched row opens the source agreement
Watch: Run Compliance on Your Invoices in 60 Seconds
Finally: Expense Compliance That Actually Works
Upload Invoices → Run Compliance → Get SEC-Defensible Allocations
Our AI reads YOUR Form ADV, expense policies, and vendor contracts to automatically determine fund vs. adviser allocation. Every decision includes citations and reasoning. Push to QuickBooks or export to any accounting system. It's that simple.
How ExpenseBot Works for Investment Advisers
Step 1: One-Time Setup (5 minutes)
Auto-Retrieve Form ADV
Just enter your firm name. We'll find and pull your Form ADV directly from the SEC database. No manual upload needed.
Upload Vendor Contracts (Game-Changer!)
Drop in your vendor agreements and engagement letters. When you run compliance, ExpenseBot links matching report expenses to the agreement and shows its extracted renewal and cancellation terms for review.
Add Expense Policies
Upload your internal expense policy (optional). The AI will consider it alongside Form ADV when making allocation decisions.
Step 2: Upload & Process Invoices
Upload invoices in bulk via PDF, forward email receipts, snap photos, or integrate with Gmail. Our bulk PDF uploader handles hundreds of invoices at once - perfect for month-end processing or catching up on backlogs.
Multiple Ways to Get Invoices Into ExpenseBot:
- Bulk PDF Upload: Upload hundreds of PDF invoices at once
- Email Forward: Simply forward invoices to receipts@expensebot.ai
- Gmail Integration: Connect your Gmail to auto-import invoice emails
- Mobile Upload: Snap photos of paper invoices on your phone
- Drag & Drop: Drop files directly into ExpenseBot
Step 3: Run Compliance & Get Instant Allocations
Click "Run Compliance" and watch the magic happen. ExpenseBot analyzes each invoice against your Form ADV, matches it to vendor contracts, and determines if it's a fund or adviser expense - with specific citations explaining why.
The Three Powers of Compliance Check
1. Form ADV Allocation
Every expense gets allocated (Fund vs. Adviser) with specific Form ADV citations explaining why. SEC examiners see your consistent methodology.
2. Vendor Contract Matching
During a report compliance check, links matching expenses to their governing contracts or engagement letters so the source agreement is one click away.
3. Cancellation Deadline Review
Review the extracted renewal date, notice period, and current cancellation deadline against the source agreement before deciding whether to renew.
What You'll See:
- Allocation Decision: Fund Expense or Adviser Expense
- Form ADV Citations: Specific sections supporting the decision
- Policy Compliance: Checks against your expense policy
- Vendor Matching: Links invoice to contract with the extracted cancellation deadline
- Confidence Score: AI's certainty level for review priority
Vendor Intelligence: Know Where Your Money Goes
Match report expenses to source agreements and keep cancellation timing visible.
Link Report Expenses
Compliance Check matches a report expense to its likely governing contract
Review Deadlines
See the extracted renewal date, notice period, and current cancellation deadline
Keep the Source Close
Open the original agreement in Google Drive from the matched report row
Leave Uncertain Matches Open
Unmatched expenses stay visible for review instead of being forced onto a contract
Contract Repository: Source Agreements and Cancellation Deadlines
RIA compliance does not end at the invoice. Upload the governing agreement once, review its extracted renewal terms, and run Compliance Check when you want report expenses compared with those contracts.
Vendor Identification
Upload any vendor contract — MSA, engagement letter, data license, service agreement. ExpenseBot uses the named parties, letterhead, and signature block to identify the vendor, while the original agreement remains in your Google Drive as the source of truth.
Expiry + Cancellation Deadline Tracking
ExpenseBot reads renewal dates and cancellation notice periods from the uploaded agreement and shows the current cancel-by date in the contract workspace. Review the extracted terms against the source agreement; automatic reminder emails are not currently sent.
Invoice-to-Contract Pairing
When you run Compliance Check on a report, ExpenseBot compares each merchant with your uploaded agreements. A confident match adds a source-contract link to the report row; uncertain or unmatched expenses remain visible for review.
The Contract Workflow — One-Time Setup Per Vendor
- Upload the vendor's contract (PDF) to the ExpenseBot contract repository
- AI reads the vendor, effective date, renewal date, and cancellation notice period
- You review those extracted fields against the source agreement
- Run Compliance Check on a report to look for matching expenses
- Compliance check runs against both the Form ADV and the contract terms
- A matched row links back to the original contract in Google Drive
Contract types supported
MSAs, Engagement Letters, Data Licenses, Service Agreements, SaaS Subscriptions
Vendor identification
Named parties, letterhead, and signature blocks inform the extracted vendor
Deadline timing
Current cancel-by date shown in the contract workspace; no automatic reminder emails
Pairing method
Compliance Check compares report merchants with uploaded contract vendors
Step 4: Push to Accounting Systems
One click to QuickBooks creates bills with proper coding. For NetSuite, Sage, Business Central, Zoho Books, or FreshBooks - export a ready-to-import file. No manual data entry ever again.
SEC Compliance Features Built for RIAs
Form ADV Part 2A Integration
Upload your Form ADV and expense policy. Our AI reads these documents and automatically applies your specific allocation rules. Every expense decision is backed by citations from your actual compliance documents.
- Auto-retrieval from SEC EDGAR database
- Parses allocation methodologies from Item 5
- Identifies expense categories from your policy
- Updates automatically when you amend ADV
Multi-Fund Allocation Engine
Handle complex allocation scenarios: management company vs funds, multiple fund families, series trusts, and side-by-side management. Set default rules or override per invoice based on your operating agreement.
- Pro-rata allocation by AUM or custom percentages
- Split research costs across strategies
- Separate soft dollar vs hard dollar expenses
- Track 12b-1 fees and revenue sharing
Audit-Ready Documentation
Every allocation decision is documented with reasoning and policy citations. Export comprehensive reports for SEC exams, annual audits, or board meetings. Maintain a complete audit trail of who approved what and when.
- Timestamped approval workflows
- Policy citation for each allocation
- Quarterly expense analysis reports
- SEC exam response packages
Built for Modern Asset Managers
Research & Data Vendors
Bloomberg, Refinitiv, FactSet, alternative data
Automatically categorize research expenses by strategy. Track soft dollar arrangements separately. Allocate alternative data costs to specific funds based on usage. Monitor MiFID II research payment accounts. Document best execution committee decisions.
Technology Stack
Portfolio systems, risk management, compliance tools
Split enterprise licenses across funds and adviser. Track per-user costs for systems like Aladdin or Charles River. Allocate compliance system costs (ComplySci, StarCompliance) to management company. Handle multi-year contracts with monthly accruals.
Professional Services
Legal, audit, administrator, consultant fees
Parse legal invoices to allocate fund formation vs operational costs. Split audit fees by fund complexity. Track administrator fees with basis point calculations. Separate regulatory vs business consulting. Handle retainers and true-ups automatically.
Why This Changes Everything for Investment Advisers
SEC-Ready Documentation
Every allocation includes citations from YOUR Form ADV in a locked, tamper-proof report. Complete audit trail with timestamps. When examiners ask why an expense was allocated, you have unalterable documentation showing your consistent methodology.
Keep Contract Context With the Expense
Run Compliance Check to link matching report expenses to their source agreements. Review the extracted renewal and cancellation terms in the contract workspace, with the original file one click away.
Minutes Not Days
Process hundreds of invoices in the time it takes to manually review one. Bulk upload, run compliance, done.
100% Accurate Data Entry
AI extracts every detail from PDFs - amounts, dates, descriptions. No typos, no missed invoices, no human error.
Real-Time Visibility
Dashboard shows expense allocation trends, vendor spend, and compliance metrics. Spot issues before they become problems.
Works With Your Systems
Direct QuickBooks sync or export to any accounting package. Your existing workflows, just 10x faster.
Perfect For Every Expense Scenario
- Research & Data Subscriptions: Automatically determine if Bloomberg, CapIQ, or research services should be allocated to funds or adviser
- Professional Services: Legal, audit, and consulting fees allocated based on engagement scope and your Form ADV
- Technology & Software: Portfolio management systems, CRM, and operational tools properly categorized
- Travel & Entertainment: Due diligence trips vs. marketing travel automatically distinguished
- Regulatory & Compliance: SEC fees, compliance consulting, and regulatory expenses properly allocated
- Dead Deal Costs: Broken deal expenses allocated across appropriate funds with pro-rata calculations
Plus: Complete Expense Management
While we built ExpenseBot to solve fund allocation compliance, it's also a complete expense solution for your entire firm:
- Employee Expenses: Your team can submit travel, meals, and other expenses through the same system. Same compliance checks, same easy workflow.
- Bulk PDF Processing: Upload hundreds of PDF invoices at once. Perfect for month-end processing or clearing backlogs.
- All Expense Types: Credit card reconciliation, receipt capture, travel expenses - everything in one platform.
- One-Click QuickBooks: Push everything - allocated invoices and employee expenses - directly to your accounting system.
Security and Data Ownership
Durable receipt files, spreadsheets, and reports live in your Google Drive. ExpenseBot also processes limited service metadata and temporary receipt data as described in the Privacy Policy.
- 2026 CASA Tier 2 independent security assessment
- You own the records stored in your Google Drive
- Google Cloud encrypts stored service data at rest
- Role-based access controls
- Complete audit trail for every action
- Privacy and data-processing details are published in our Privacy Policy
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— Brian K. Wise, MD, MPH, Psychiatrist, Wise Psychiatry PC (Verified ExpenseBot User)
Frequently Asked Questions
What does Form ADV auto-retrieval do?
Enter your firm name and ExpenseBot pulls the latest Form ADV from the SEC to power allocations.
How do you allocate Fund vs Adviser?
AI reads your Form ADV and policy, then returns an allocation with specific citations and reasoning.
Do you integrate with QuickBooks and NetSuite?
Yes. One-click sync for QuickBooks; export mappings for NetSuite, Sage, Business Central, and others.
Can you review vendor renewal deadlines?
Yes. Upload a vendor agreement and ExpenseBot shows its extracted renewal terms and current cancellation deadline. Matching happens when you run Compliance Check on a report; automatic reminder emails are not currently sent.
Where is our data stored?
In your cloud environment (Google Workspace / M365). You retain control and can revoke access anytime.
Can I upload invoices in bulk?
Yes. Drop 100+ PDFs at once or forward emails. AI parses each invoice into a spreadsheet row automatically.
How does the vendor contract matching work?
Upload contracts once, then run Compliance Check on a report. ExpenseBot compares report merchants with the uploaded agreements and links a matching expense back to its source contract.
What file formats are supported for invoices?
PDF, PNG, JPG, and email forwards. Bulk upload or drag-and-drop into ExpenseBot.
How does ExpenseBot use a contract signature block?
ExpenseBot reads the signature block as one source for identifying the vendor. The original agreement stays in your Google Drive and a matching report expense links back to that file; ExpenseBot does not create a separate signatory-page file.
How does the invoice-to-contract pairing work?
Upload vendor contracts during setup, then run Compliance Check on a report. ExpenseBot matches by vendor identity and adds a link to the likely governing agreement. Unmatched expenses remain clearly identified for review.
See Your Form ADV In Action
Start your free trial and watch ExpenseBot retrieve your Form ADV from the SEC database. Upload a few invoices, run compliance, and see the allocation magic happen. Your team will wonder how they ever managed expenses without it.
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Built for: Private Equity • Hedge Funds • Venture Capital • Real Estate • Credit Funds • RIAs