KYC documentation arrives incomplete or weeks late
You open new accounts provisionally, then spend weeks chasing missing ID documents and source-of-funds declarations. Every gap is a compliance exposure — and a distraction for your advisors.
For US RIAs & Independent Financial Advisors
Financial advisor client onboarding software with built-in KYC enforcement.
ClientEnforce enforces CIP documentation, suitability questionnaires, and signed disclosures before any account is opened — so your compliance team has a defensible, timestamped record for every client.
No credit card required · 30-day money-back guarantee · Cancel anytime
No credit card requiredLive in 20 minutes30-day money-back guaranteeAutomated follow-ups included
Sound familiar?
If you run a financial advisors business in the US, at least one of these hits home.
AML and suitability checks stall account openings
Without required-step enforcement, clients submit partial suitability forms, skip risk tolerance sections, and return documents that need re-collection. The account opening drags on.
No defensible audit trail when regulators ask
SEC, FINRA, and state regulators want to see exactly what was collected, when, and in what order. A spreadsheet or email thread is not an audit trail.
Advisors spend time on administration instead of client relationships
Every hour an advisor spends following up on missing forms is an hour not spent on financial planning, client calls, or new business development.
How it works
RIAs and independent advisors use ClientEnforce to enforce client onboarding from day one — CIP documentation, suitability forms, signed disclosures, and account paperwork — before any investment activity begins.
Build your template once
Define every document, question, signature, and required step for your service type. Takes under 20 minutes. Reuse it for every client after that.
Send one link when a client signs
Clients see exactly what they need to do, in order. No login required. No confusion about where to send things.
Track completion — stop chasing
Automated reminders handle overdue tasks. Your dashboard shows what's done, what's pending, and what's overdue — across every active onboarding.
Everything financial advisors teams need
Onboarding templates
Build once, reuse for every client
Required step enforcement
Clients can't skip mandatory items
Automated email reminders
No manual follow-up — ever
Real-time progress dashboard
See every onboarding at a glance
E-signature collection
Agreements signed inside the portal
Document upload
Secure, structured file collection
Audit trail with timestamps
Defensible record of every step
Team roles (RBAC)
Right access for every team member
No login required for clients
Clients complete intake from a link
🔒 Every form submission, document upload, and intake step is timestamped and logged per client — producing a defensible audit trail for SEC, FINRA, and state regulator examinations.
Built for every type of health & wellness business
Registered Investment Advisers (RIAs)
Financial advisor onboarding software that enforces CIP documentation, Form ADV delivery acknowledgement, and suitability questionnaire completion — before any account is funded. Full audit trail for SEC and state examinations.
Independent Financial Planners
Collect signed engagement agreements, financial data gathering questionnaires, and document uploads in a structured intake portal — so every planning engagement starts with a complete client file.
Wealth Management Practices
Standardize new client onboarding across every advisor in the practice — investment policy statements, risk tolerance assessments, and KYC documentation enforced consistently regardless of who handled intake.
Insurance-Linked Financial Advisors
Enforce needs analysis forms, replacement notices, and suitability documentation for insurance-linked products — with a timestamped record that satisfies state insurance department requirements.
Simple, transparent pricing
Start free. Upgrade as your onboarding volume grows. No long contracts.
Solo
$0/month
Test your onboarding flow and get your first client live.
- 1 admin user
- 1 onboarding template
- Client portal link per onboarding
- Document uploads + e-signatures
- Up to 5 active onboardings
Most popular
Team
$37/month
For small US teams running client onboarding at pace.
- Up to 5 admin users
- Up to 10 templates
- Automated reminders (email)
- Audit timeline + evidence export
- Up to 50 active onboardings
Best value
Scale
$99/month
For teams onboarding at volume who need stronger controls.
- Up to 15 admin users
- Unlimited templates
- Everything in Team
- Advanced reporting
- Up to 200 active onboardings
Best for agencies
Agency Pro
$149/month
White-label portals + unlimited onboardings for agencies that sell the experience.
- Everything in Scale
- White-label client portals (your brand)
- Custom domain for portals
- Unlimited active onboardings
- Dedicated onboarding support
No credit card required · 30-day money-back guarantee · Cancel anytime
Free Download
The RIA Client Onboarding Compliance Checklist
The exact steps top US businesses use to onboard clients without chasing.
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Frequently asked questions
Yes. You can build required-step intake flows that collect identity documents, source-of-funds declarations, beneficial ownership information, and any other CIP-required documentation — enforced before any account progresses.
Yes. Include an acknowledgement step that requires the client to confirm receipt before the intake portal advances — producing a timestamped record of delivery for your compliance files.
Yes. Every step completion, form submission, document upload, and timestamp is logged per client and exportable as a PDF evidence pack — designed to answer examiner requests for onboarding documentation.
Yes. Build separate templates for individual accounts, joint accounts, entity accounts, retirement accounts, and trust accounts — each with the specific required steps for that client type.
Open every account with a complete compliance file
Build your first client intake template in under 20 minutes. No credit card required. 30-day money-back guarantee.