Streamline SEC Regulatory Admin. Never Miss a Filing Deadline.
Hire Managed SEC Compliance Virtual Assistants.
Reconciling employee personal trading logs, cross-referencing Form ADV annual updating amendments, compiling Rule 206(4)-1 marketing substantiation files, tracking Form 13F schedules, and formatting mock audit binders consume billable consulting hours. SageDoer delivers dedicated, rigorously vetted SEC Compliance Administrative Virtual Assistants supervised by a free dedicated Project Manager to handle your heavy regulatory documentation—at up to 70% cost savings.
Samrat Pal (Dedicated Project Manager)
$0 Extra SupervisionVerifying Form 13F filing threshold, IARD draft & trade pre-clearance
Free Senior Compliance Officers to Focus on High-Value Advisory
High-end regulatory consultants bill $300–$600/hr to advise on complex SEC examinations, fiduciary obligations, and risk assessments. Having senior staff format Form ADV disclosures, audit marketing disclaimers, or compile Books and Records binders is costly and inefficient. SageDoer provides specialized administrative muscle.
Single Point of Contact
Communicate requirements and regulatory deadlines directly with your dedicated Project Manager. They translate your directives into standard checklists, review all work, and ensure error-free documentation.
Centralised Time Tracking
Every minute of Form ADV verification, Form 13F CUSIP cross-checking, and mock audit folder assembly is transparently tracked. You pay exclusively for actual working time logged.
Strict MNPI & Data Security
We understand Material Non-Public Information (MNPI) risks. All SageDoer personnel sign comprehensive non-disclosure agreements, operate on dedicated secure connections, and maintain clean-desk protocols.
Zero Platform Fees
No unexpected marketplace markups, candidate bidding commissions, or subscription tiers. Straightforward, fixed rates of $6 or $7 per hour with dedicated Project Manager oversight completely free.
SEC & RIA Ecosystem Fluency
Trained on industry standard RegTech workflows: IARD, FINRA Gateway, ComplySci, MyComplianceOffice, Smarsh, Orion Compliance, Workiva Wdesk, and custodian portfolio accounting exports.
Seamless Peak-Quarter Scaling
Scale up administrative capacity effortlessly during peak Q1 Form ADV annual update surges or during active SEC examination responses, and normalize hours when filings subside.
100% Factually Accurate SEC Compliance & RegTech Tools
Your SageDoer Virtual Assistant comes prepared with operational familiarity across industry-standard regulatory portals, GRC suites, electronic communications archives, and custodial systems.
IARD / Web CRD
Form ADV & U4/U5 Filings
SEC EDGAR
Forms 13F, 13H, Form D & 4
Workiva (Wdesk)
SEC Reporting & XBRL Linking
ComplySci (COMPLY)
Employee Trade Surveillance
MyComplianceOffice
Code of Ethics & Gifts Tracking
Smarsh / Global Relay
Email & Text Archive Audits
DFIN ActiveDisclosure
SEC 10-K, 10-Q & 8-K Prep
Orion Compliance
Rule 206(4)-7 Task Tracking
Custodian Portals
Schwab Institutional, Fidelity
ComplianceAlpha
RegTech Workflow & Reviews
Adobe Acrobat Pro
Bates Stamping & Redactions
Egnyte / Secure Box
Rule 204-2 Books & Records
What Your SEC Compliance Virtual Assistant Executes Daily
Delegate filing preparation, personal trading reconciliation, marketing rule documentation, and Books and Records indexing under your direct supervisory authority.
Form ADV & IARD Administration
- Collating regulatory AUM figures across custodian statements (Schwab, Fidelity) for Item 5 calculations
- Drafting redline comparison passes for Form ADV Part 2A "Narrative Brochure" and Part 2B supplements
- Preparing Form CRS (Relationship Summary) updates and tracking delivery confirmation receipts
- Pre-populating IARD draft submissions for CCO / Consultant final electronic signature authorization
Filing Calendar & SEC Deadlines
- Maintaining master compliance calendars across all RIA clients: 13F, 13H, Form PF, and state notice filings
- Matching institutional portfolio holdings against the SEC Official List of Section 13(f) Securities by CUSIP
- Tracking Form 13H Large Trader annual update trigger thresholds (2M shares / $20M daily or 20M shares / $200M monthly)
- Monitoring Form D notice filings and state blue sky renewal deadlines for private fund syndicates
Code of Ethics & Personal Trading
- Reconciling quarterly transaction reports and initial/annual holdings disclosures in ComplySci or MCO
- Cross-referencing employee personal trade requests against Restricted Lists and firm Watch Lists
- Logging employee gift, entertainment, and outside business activities (OBA) disclosure attestations
- Auditing political contributions for Pay-to-Play Rule (Rule 206(4)-5) compliance flags
SEC Marketing Rule (206(4)-1) Logs
- Reviewing pitch books, website copy, LinkedIn posts, and one-pagers against marketing review checklists
- Verifying presence of prominent net-of-fee returns alongside gross returns over 1, 5, and 10-year periods
- Cataloging substantiation backup files for all factual assertions, testimonials, and endorsements
- Maintaining centralized marketing collateral approval archives with date stamps and CCO sign-offs
SEC Exam & Mock Audit Binder Assembly
- Organizing Division of Examinations (formerly OCIE) first-day document production requests
- Bates stamping, bookmarking, and redacting sensitive PII across client files using Adobe Acrobat Pro
- Assembling Books & Records binders (Rule 204-2): advisory contracts, fee calculation worksheets, and trade logs
- Auditing annual Rule 206(4)-7 review exhibits and deficiency tracking resolution matrices
Surveillance & Vendor DDQ Support
- Assisting with lexicon keyword sweeps in Smarsh / Global Relay for off-channel communication audits
- Circulating and collecting annual third-party vendor Due Diligence Questionnaires (DDQs)
- Tracking employee compliance training acknowledgments, cybersecurity quizzes, and insider trading sign-offs
- Maintaining business continuity plan (BCP) and incident response notification contact directories
How Our Managed SEC Compliance Support Works
From annual Form ADV filings to everyday personal trade logging, our four-phase model gives you dependable compliance administration with zero management overhead.
Submit Requirements
Share your specific project needs with us to get started. Choose your preferred channel to reach out:
Finalise the Deal
Our dedicated project manager will promptly get back to you to review your goals, outline a tailored strategy, and finalise the partnership details.
Expert Execution
Your project manager takes full charge of the operations, getting the work done seamlessly and efficiently through our internal team of vetted experts.
Pay Only for Output
We log and charge exclusively for the virtual assistant's actual working time. Your dedicated project manager's supervision is completely free.
Traditional Platforms vs. SageDoer
Compare the risks of unvetted freelance marketplaces against SageDoer's dedicated, supervised compliance operations support.
| Factor |
Traditional Platforms
Upwork, Freelancer, Unmanaged Contractors
|
THE SMART CHOICE: SageDoer
Fully Managed & Supervised
|
|---|---|---|
| Platform & Management Fees | Up to 40% in hidden markups, bidding, and memberships | 0% Hidden Fees. Pay strictly for hours worked. |
| Daily Team Management | You must juggle and supervise multiple freelancers | Dedicated Project Manager acts as your single point of contact |
| Quality Assurance | Hit-or-miss talent with unverified credentials | Internally vetted, rigorously trained premium experts |
| Hiring & Deployment Speed | Endless cycles of interviewing and testing candidates | Instant delegation. We immediately assign the right specialist. |
| Billing & Invoicing | Complex, multi-freelancer invoices with currency headaches | Simple, unified, centralised USD invoicing |
| Staff Turnover & Replacements | Start the hiring and training process all over again | Seamless internal replacements with zero workflow disruption |
Transparent, Fixed Hourly Pricing
Pay strictly for hours of pure work. Dedicated Project Manager supervision is included at absolutely no extra charge.
Est. $560 USD / Month (4 Weeks)
- Pay only for hours of pure work
- Dedicated Project Manager included
- Free management supervision
- Zero setup or onboarding fees
- No monthly membership charges
- Ideal for boutique RIA compliance practices & quarterly reporting
Est. $960 USD / Month (4 Weeks)
- Pay only for hours of pure work
- Dedicated Project Manager included
- Free management supervision
- Zero setup or onboarding fees
- No monthly membership charges
- Comprehensive ops: Form ADV, 13F/H, Marketing Rule & Mock Audit binders
SEC Compliance Operations Savings Calculator
Compare SageDoer against hiring an in-house Compliance Paralegal / Coordinator ($45/hr average + benefits).
Trusted by Regulatory Consultants, CCOs & Asset Managers
See how outsourced compliance partners and RIA directors scale their client base with SageDoer.
"We provide outsourced CCO consulting to 28 registered advisers. During Q1 Form ADV updating season, our team used to drown in AUM reconciliations and brochure redlines. SageDoer provided two dedicated VAs who prepared flawless drafts on IARD. Our partners saved hundreds of hours."
Marcus Harrison, JD
Apex Regulatory Partners, New York
"Under the new SEC Marketing Rule (206(4)-1), substantiating every performance figure and testimonial became an enormous administrative burden. Our SageDoer assistant organized our substantiation binders and logged every pitch deck approval. They are remarkably thorough and accurate."
Rachel Greenberg
Chief Compliance Officer, Chicago
"Handling quarterly employee trade pre-clearances and restricted list matches across 65 access persons was tedious. Our SageDoer VA manages the ComplySci queue, flags exceptions immediately for our review, and prepares clean compliance committee exhibits. Incredible value at $6/hr."
David Kowalski
Principal, Sentinel Fund Advisory
"During an unexpected SEC examination for one of our hedge fund clients, we needed to produce hundreds of Bates-stamped documents under tight 10-day deadlines. SageDoer stepped up with zero notice, audited our filing binders, and delivered perfectly structured PDFs."
Arthur Levinson
Partner, Levinson Securities Counsel
"We provide outsourced CCO consulting to 28 registered advisers. During Q1 Form ADV updating season, our team used to drown in AUM reconciliations and brochure redlines. SageDoer provided two dedicated VAs who prepared flawless drafts on IARD. Our partners saved hundreds of hours."
Marcus Harrison, JD
Apex Regulatory Partners, New York
"Under the new SEC Marketing Rule (206(4)-1), substantiating every performance figure and testimonial became an enormous administrative burden. Our SageDoer assistant organized our substantiation binders and logged every pitch deck approval. They are remarkably thorough and accurate."
Rachel Greenberg
Chief Compliance Officer, Chicago
Frequently Asked Questions About SEC Compliance VAs
Everything you need to know about regulatory boundaries, data confidentiality, IARD workflows, and dedicated project management.
Ready to Protect Your Billable Hours and Eliminate Filing Bottlenecks?
Submit your SEC compliance, Form ADV, trade monitoring, or mock exam binder requirements below, or contact us directly via WhatsApp or Calendly. Our dedicated project manager will review your materials, outline an operational plan, and deploy your specialist within 24 to 48 hours.
SEC Compliance Requirement Form
Tell us about your RIA or consulting practice, software stack, and admin priorities.
Prefer immediate messaging? Reach out directly via WhatsApp (+91 80170 67191) or visit sagedoer.com/contact/.