Benefit — state-side stance
What the notice-filing record saves you across 46 jurisdictions
State securities commissioners have their own investigation and enforcement authority. Independent-verifier evidence carries across state lines without translation.
The three moments where it matters
- State-registered firm exam. State examiners open with the state ADV addendum. The AI-tool section needs the fact set the Snapshot produces.
- Multi-state parallel action. Once one state opens, others often follow. Dated independent-verifier evidence, produced once, answers the question in all of them.
- State-side client-restitution program. State securities commissioners can require client-restitution programs as a matter-resolution term. Bounding the restitution window to the identified drift period changes the direct dollar exposure.
Dollar frame
Per-state civil penalty: commonly $10K-$100K per state per matter. Multi-state exposure sums directly.
Client restitution: per-affected-account math — when a client-group differential pattern is identified, the affected accounts are countable, and the state can require full or partial restitution.
Preventive stance value: $499 Snapshot bounds the restitution window and produces the fact set every state addendum needs. One-time cost, multi-state benefit.
Who at your org cares
- Chief Compliance Officer — multi-state notice-filing coverage
- Managing Principal / CEO — multi-state signature exposure
- Outside state-securities counsel — parallel-matter defense
- CFO — restitution reserve
What "having it" looks like
Green: State addendum answers cite the Snapshot record. State inquiry response is consistent across every jurisdiction where the firm has clients.
Red: State addenda answered generically. Inquiring state examiner learns the actual fact pattern through investigation rather than disclosure. Multi-state parallel action becomes the default trajectory.
$499. 3 business days.
The record your state notice filings across every jurisdiction need behind them.
Buy $499