For small and growing advisors: compliance that’s automated, simple, and audit-ready.
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TRUSTED BY Thousands of advisors
“There is simply no substitute for Prospect.”
“We’ve replaced three other tools with Prospect.”
100% Real Reviews
“Prospect has changed our business.”
“We couldn't be happier with the results from Prospect.”
97% Recommend
“There is simply no substitute for Prospect.”
“We’ve replaced three other tools with Prospect.”
100% Real Reviews
“Prospect has changed our business.”
“We couldn't be happier with the results from Prospect.”
97% Recommend
All the Compliance You Need — None You Don’t
Finally, compliance software made for today's RIA — lightweight, automated, and self-serve.
Catch violations before they publish
AI spots compliance issues in your marketing and suggests compliant alternatives. Every piece of content is pre-screened before your final review.
Stay compliant across all channels
Automatically monitor emails, social media, and website content for compliance risks. Everything is stored in SEC Rule 17a-4 compliant archives, so you're always audit-ready.
Every policy you need, ready to use
Extensive library of policy templates covering everything from Code of Ethics to Cybersecurity. Just customize and deploy. No starting from scratch.
Manage disclosures in one place
Employees submit outside activities, gifts, and contributions digitally. Automatic conflict checks and instant certification mean no paperwork, no spreadsheets.
7x
Amount of assets reviewed per week
$29,500+
Avg annual compliance savings per year
15+
Avg hours a week reclaimed
“Epic product... this is like hiring an entire compliance team ”
Bruno k.
CEO, Gaus, Inc.
Enterprise-ready security built for compliance data
Your firm’s regulatory documents, filings, and archives are protected with the same rigor you apply to your clients’ assets.
Built-in Security
We're commited to securing your data.
SOC 2 Type II and SEC 17a-4 certified
Immutable WORM-based storage and multi-factor access
Real-time monitoring and audit-ready logs
Privacy & Control
You control access to your data.
You control permissions and retention policies
Luthor never takes ownership of your data
Access is limited to providing requested services
24/7 Customer Support
Compliance doesn’t sleep. Neither do we.
Round-the-clock access to our support team
Fast resolutions for critical requests
Real experts, not chatbots
"Luthor turned compliance from stress to seamless — it helps us move fast without second-guessing risk."
Sam R.
CCO PCM Encore
Join thousands of advisors already growing with Luthor.
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