Primary Differentiator
The Compliance Vault:
SEC-ready evidence from work
already done.
The only tool in the advisor tech stack that generates SEC-ready evidence of service delivery. CanyonOps produces 4 structured CSV reports — per-client annual, firm summary, communication log, and fee justification — bundled into a downloadable evidence pack ZIP. No retroactive documentation. No year-end scramble. Compliance is a byproduct of doing your work.
The Big Picture
Your compliance evidence
writes itself.
Every advisory firm dreads the same question: "Can you document what you did for this client last year?" The answer usually involves digging through emails, calendars, CRM notes, and scattered spreadsheets to reconstruct a story after the fact. No other tool in the advisor tech stack solves this problem.
CanyonOps flips that equation. Because your team already tracks tasks, logs notes, records meetings, and marks milestones inside the platform, the Compliance Vault generates SEC-ready evidence packs instantly — 4 structured CSV reports bundled into a single ZIP: per-client annual review, firm summary, communication log, and fee justification. No extra work, no retroactive documentation, no scrambling before an audit.
Key Capabilities
Everything that makes the
Compliance Vault powerful.
Per-Client Annual Review Reports
Generate a detailed report for any household showing every task assigned, its completion status, who completed it, and when. Regulators want to see what you did for each client — this report answers that question instantly, without manual reconstruction.
Firm Summary Report
A single org-wide overview that aggregates service delivery across all households, tiers, and categories. See completion rates by tier, identify systemic gaps, and demonstrate firm-wide service consistency to auditors and compliance reviewers.
Communication Log Reports
Every note, every meeting record, every internal message — organized by household and exported chronologically. When a regulator asks "What communications did you have with this client?" you have the answer in seconds, not hours.
Fee Justification Reports
Document the effort your firm delivers for each client's fee. Task completion counts, service categories touched, meeting frequency, and advisory touchpoints — all compiled into a defensible record that demonstrates the value behind every basis point.
Evidence Pack Download
One click generates a bundled ZIP file containing a cover page and all four report CSVs. Hand it to your compliance officer, attach it to an audit response, or archive it for your records. Every pack is timestamped and attributed to the user who generated it.
Complete Activity Audit Trail
Every action in CanyonOps is timestamped and attributed to a specific user. Task completions, note additions, status changes, report generations — the system maintains a comprehensive, tamper-evident log that serves as your single source of truth for regulatory inquiries.
Security & Data Governance Pack
Access SOC2-readiness documentation, a data retention policy template, and a Data Processing Agreement (DPA) template — all designed for advisory firms. Demonstrate to clients and regulators that your practice takes data governance seriously, backed by documented controls.
Plan Year Scoped Reports
All reports are scoped by plan year. Generate the 2025 evidence pack for last year's audit, then switch to 2026 for the current year — without mixing data. Year-over-year comparisons show regulators that your service delivery is consistent and improving.
Day in the Life
How the Compliance Vault
transforms audit prep.
Scenario: Maria, Operations Manager at a 42-Household RIA, Prepares for a Regulatory Audit
Monday Morning: The Audit Notice Arrives
Maria receives a notice that the SEC will be conducting a routine examination. The examiners want documentation of client service activities, communication records, and fee justification for 2025. In the past, this would have meant weeks of scrambling through emails and CRM records. Today, Maria opens the Compliance Vault.
Monday, 10 Minutes Later: Generate Reports
Maria selects the 2025 plan year and generates all four reports. The Per-Client Annual Review shows that 38 of 42 households had 100% task completion. The Firm Summary breaks down service delivery across all 7 tiers. The Communication Log contains 1,247 timestamped entries. The Fee Justification report documents every service touchpoint per household.
Monday, 15 Minutes Later: Download the Evidence Pack
Maria clicks "Download Evidence Pack." CanyonOps bundles a professional cover page with all four CSV reports into a single ZIP file. She saves it to the firm's compliance folder and emails it to the firm's compliance counsel. Total time from audit notice to complete evidence package: 15 minutes.
During the Examination: Answer Follow-Up Questions
The examiner asks about specific client interactions with the Henderson household. Maria opens the Communication Log, filters by household, and shows a chronological record of every note, meeting, and task update — complete with timestamps and user attribution. The examiner is satisfied in minutes rather than days.
After the Audit: Proactive Compliance
Maria sets a quarterly reminder to generate evidence packs. Every quarter, the firm downloads a fresh pack and archives it — building a continuous compliance record. When the next audit comes, the evidence is already organized and waiting. No scramble, no stress, no surprises.
Connected System
The Compliance Vault draws
from everything.
Every task completion, every note, every meeting, every status change across the entire platform feeds into the Compliance Vault. No extra data entry — compliance is a byproduct of doing your work.
Early Access
Make compliance a byproduct,
not a project.
Be the first to experience the Compliance Vault. Early access members get founder pricing, direct product input, and priority onboarding.