Essential Compliance Tools for Independent Advisors
We build professional compliance tools that help independent financial advisors streamline their workflow and create audit-ready documentation.
Our Mission
Provide independent financial advisors with professional compliance tools that streamline workflows and create audit-ready documentation — without the enterprise complexity or price tag.
As financial advisors ourselves, we understand the daily challenge of balancing client service with regulatory compliance. The tools available to large institutions often cost thousands annually and require lengthy sales processes. Independent advisors deserve better.
Simple Advisor Tools was built to bridge that gap. We provide three essential compliance tools — Risk Tolerance Questionnaires, Annual Suitability Reviews, and IPS Generation — designed specifically for solo practitioners and small RIAs. Professional quality, audit-ready documentation, and straightforward pricing.
"Professional compliance tools for independent advisors."
That's not just our tagline — it's our commitment.
Our Tools
Three essential tools for your compliance workflow
Risk Tolerance Questionnaire
Mobile-first client questionnaires with automated risk scoring. Customize questions and generate professional PDF reports.
Annual Suitability Tool
Structured annual client reviews with conversation tracking and comprehensive documentation for compliance.
IPS Generator
Investment Policy Statement creation and management with customizable templates and professional formatting.
The Guardian. The Architect.
Our brand archetype reflects our commitment to your practice
The Guardian
We are a shield, not just a tool. We protect your practice with audit-ready documentation and defensible assessments that stand up to regulatory scrutiny.
The Architect
We convey authority, stability, and precision. Every tool is methodically constructed with the rigor required for professional compliance.
Our Values
Principles that guide everything we build
Data-First
We focus on specific, measurable outcomes. Clear documentation, automated scoring, and professional reports. Never vague claims.
Respect the Professional
Our audience is educated financial professionals. We build tools that respect your expertise and streamline your workflow, not replace your judgment.