SEC exam and request list readiness
Produce a day-one vendor summary, track every request item with an owner and due date, and export PDF and CSV evidence with the rationale behind each recorded decision.
For registered investment advisers
Vendor oversight built for RIA compliance programs.
ThirdNexa gives CCOs and operations teams one accountable record for vendor inventories, due diligence, contracts and exam evidence — aligned with SEC examination priorities and amended Regulation S-P.
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Explore sample workflows for RIAs, broker-dealers and their counsel — no signup required.
- Advisers Act Rule 206(4)-7
- Rule 204-2 books and records
- Amended Regulation S-P
How RIAs use ThirdNexa
The oversight work examiners ask about, organized.
ThirdNexa organizes the work and preserves the evidence. Your firm decides which obligations apply, evaluates each vendor, and records every approval.
Regulation S-P service provider oversight
Flag vendors with access to customer information, track whether incident-notification clauses are in each contract, and record vendor incidents and your firm's response.
Rule 206(4)-7 annual review evidence
Export the year's reviews, findings raised and resolved, incidents, and recorded decisions with a linked evidence index for your annual program review.
Tiered due diligence
Set the documents each risk tier requires — SOC reports, financial statements, BCP/DR testing, insurance certificates, W-9s — and see what's missing, expiring or expired.
Contract renewals and notice windows
Track renewal terms and non-renewal notice deadlines so contracts with custodians, portfolio accounting and CRM vendors don't roll over unnoticed.
CCO and consultant collaboration
Work alongside an outsourced CCO or compliance consultant in one shared record, with role-based access, reusable outreach templates and firm-wide saved report views.
From spreadsheet to exam-ready
What changes when the record is accountable.
Spreadsheets and inboxes
ThirdNexa
No record of who changed what, or why
Every decision is logged with the person, date and written rationale
Reminders depend on someone remembering
Reviews, expirations and notice windows surface in one due queue
Evidence scattered across inboxes and drives
Documents attach to the vendor, review or finding they support
Exam requests rebuilt from scratch
Reports and evidence packages are generated from the live record
ClaudeChatGPTRead-only MCP connection
Works with Claude and ChatGPT
Your vendor records. Your preferred AI assistant.
Connect ThirdNexa through the Model Context Protocol (MCP) to search vendors, view risk profiles, check review deadlines, and read open findings and recorded Regulation S-P contract clause statuses.
Ask about the work already in your records
“Which vendor reviews are overdue or due in the next 30 days?”
“Show open findings and remediation details for my vendors.”
“Show recorded Reg S-P contract clause gaps for my vendors.”
Example questions, not customer data or generated answers.
- Sign in and approveAccess is limited to firms you can access in ThirdNexa.
- Queries recordedEach query is recorded in the relevant firm's activity log.
- Read-only by designNo edits or approvals. Your firm records every decision.
Recorded statuses are not compliance determinations or legal advice. Claude and ChatGPT are third-party services; connector availability depends on their plans and settings. Review their data policies before connecting.
RIA FAQ
Questions advisers ask before moving off spreadsheets.
How long does onboarding take?
Most firms upload their existing vendor spreadsheet on day one. ThirdNexa reads messy files — not just clean templates — and pre-fills vendor records with your own data and cited sources, so your team reviews and confirms rather than retyping. You can be working in the platform the same afternoon, and nothing is overwritten without your confirmation.
Where is our data stored, and how is it protected?
Your workspace is isolated at the database level from every other firm, with encryption in transit and at rest and role-based access inside your organization. Records are exportable to PDF and CSV at any time, and every decision is logged with the person, date and rationale so the trail belongs to your firm. For details, see our Security page and Privacy Notice.
Who can see and change our records?
Access is role-based: you decide which team members, outsourced CCOs or consultants can view, edit or administer the workspace. Consultants you invite work in your shared record rather than a separate copy, and every change is attributed so you always know who did what.
Does ThirdNexa give compliance or legal advice?
No. ThirdNexa organizes the work and preserves your evidence — it never determines which rules apply to your firm, never labels a vendor "compliant," and never approves a decision for you. Your firm records its own determinations, with the rationale behind each one, so the judgment stays yours and the record is defensible.
How does this support our books-and-records obligations?
The platform keeps a dated, attributed record of vendor reviews, documents, findings, incidents and approvals, and generates PDF and CSV reports with an evidence index for exams, annual program reviews and board or CCO reporting. It supports your recordkeeping; your firm remains responsible for meeting its regulatory requirements.
Can we export everything if we leave?
Yes. Vendors, reviews, documents, findings, decisions and logs are exportable, so the record your firm built stays with your firm.
ThirdNexa is a recordkeeping and workflow tool. It does not provide legal advice, determine which regulatory requirements apply to your firm, or approve or certify any vendor. Your firm's compliance professionals remain responsible for those judgments.
Book a demo
Talk through your onboarding and recordkeeping needs.
Tell us how your firm handles third-party risk today — the spreadsheet, the request list, the consultant you work with — and we'll walk through the workflows most relevant to your team, with your own vendor data in mind.
Request a demo
Explore sample workflows for RIAs, broker-dealers and their counsel — no signup required.
Walk into your next exam with the record already built.
Free to get started. Bring your existing vendor spreadsheet.