For RIAs & Wealth Management Firms

How ready is your firm for an AI governance examination?

No new AI rule has to exist for an examiner to ask about AI. The 2026 SEC Examination Priorities already name AI governance, vendor oversight, and supervision of AI-assisted recommendations. This 12-question diagnostic shows you where your gaps are — in about three minutes.

12 questions ~3 minutes No email required Scored on the spot

On the calendar

Reg S-P compliance for smaller advisers lands June 3, 2026. The large-firm deadline ($1.5B+ AUM) already passed on December 3, 2025.

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Your readiness tier

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Where you stand, by category

Your top priorities before June 2026

Built from your weakest answers. Tackle these in order.

Get the full build checklist

You answered the questions. The companion PDF — Five Things to Build Before June 2026 — walks through exactly what each document needs to contain to survive an exam. Reply to my message and I'll send the link.