Let Joot Help with SEC Exam and Audit Preparation

We're building a tool tailored to your firm that simplifies the arduous SEC exam process. Prepare, organize, and file to the SEC with confidence. Joot has your back with a unique blend of technology and service experts.

Mock SEC Exam

Get a sample of questions your firm would be required to answer by the SEC

Enter your CRD# for a customized list of SEC exam requirements personalized for your RIA firm. If you don't know your firm's CRD#, you can search for it here.

Personalized audit

Step 1

Get your firm's personalized audit requirements using our step by step tool. Prepare your documents with ease as you start your SEC exam prep.

Upload and organize

Step 2

We'll tell you what information is required and organize your files with our cloud-based solution. Your data is always secure and private.

File electronically and send to the SEC

Step 3

Generate a custom report by exam type and file electronically. Any SEC follow up questions will be supported by a dedicated Joot compliance expert.

Easy to use step by step tool

Joot compliance expertise infused into an easy to use step by step tool

Relax, you are prepared

Relax with the knowledge you are prepared for any SEC examination

Employee collaboration

Organization based tasks allow employee collaboration to seamlessly complete exam requirements.

Joot Revolutionizes Compliance

RIA compliance can be repetitive and time consuming - so we built a technology platform built by industry experts to simplify these tasks and make your work more fulfilling.
Learn more about our compliance technology.

Get a customized compliance program that fits your firm

Compliance doesn’t drive your business forward, but it can hold you back.
Reach out for a free consultation on our services and technology.

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