Compliance · Regulatory Filings
Replaces your compliance counsel's reminders. Archstone gives you a single view of every regulatory filing your fund has made — and every one that's still outstanding — with full amendment history and document storage.
Start your free trialAsk most emerging GPs where their original Form D filing is and you'll get a pause. It's somewhere in an email from counsel, or maybe in a Google Drive folder labeled "Legal." The amendment from when you added new LP jurisdictions? That's in a different thread. Your Form ADV annual amendment confirmation? Buried in last March's inbox. State blue sky filings? Hopefully your law firm has copies, because you're not entirely sure where yours went.
This scattered approach to regulatory record-keeping works until it doesn't. An SEC examination request asks for your complete filing history. A new LP's counsel wants to see proof of your Reg D exemption and state notice filings. Your fund auditor needs to confirm all required filings are current. Suddenly you're spending days reconstructing a paper trail that should have been organized from day one.
Archstone's regulatory filing tracker gives you a centralized, searchable repository for every filing your fund has made or needs to make. Each filing record stores the submission documents, confirmation receipts, amendment history, and any correspondence with regulators. Your status dashboard shows at a glance which filings are current, which need amendments, and which are overdue. When your counsel files a Form ADV amendment, they can attach the confirmation directly to the record — no more searching through email.
See every filing organized by regulatory body — SEC federal filings, individual state notice filings, and any self-regulatory organization submissions. Filter by jurisdiction, filing type, or status to find exactly what you need in seconds.
Every filing maintains a complete version history. When you file a Form D amendment to add new jurisdictions or update offering amounts, the amendment links to the original filing with a clear timeline showing what changed and when.
Attach the actual filing documents, confirmation receipts, fee payment records, and any correspondence with regulators directly to each filing record. No more hunting through email for that EDGAR confirmation or state filing receipt.
A single view shows the current status of every regulatory obligation — filed and current, amendment pending, due soon, or overdue. Color-coded status indicators let you assess your compliance posture at a glance without drilling into individual records.
Invite your compliance counsel to collaborate on filing records. They can upload documents, update statuses, and add notes directly in Archstone — eliminating the back-and-forth email chains that slow down every filing cycle.
Pre-built checklists for common filings — Form D (initial and amendments), Form ADV Parts 1 and 2, state blue sky notice filings — ensure you collect every required document and complete every step before submission. Customize templates for your fund's specific needs.
Your Form D filing evolves throughout your fundraise — initial filing, amendments for new sales, annual updates, and jurisdiction additions. Archstone keeps the full history linked together so you can see exactly what's been filed, when, and what's still pending.
Registered investment advisers must file annual Form ADV amendments within 90 days of fiscal year-end. Archstone tracks your filing window, stores each year's Part 1, Part 2A (brochure), and Part 2B documents, and maintains the complete amendment history for examinations.
Generate a comprehensive regulatory status report showing all filings, their current status, and any outstanding items. Share with your fund's advisory board, compliance committee, or prospective LPs who want to verify your regulatory standing.
Archstone is a tracking and organization tool, not a filing agent. You or your counsel still file directly with the SEC via EDGAR and with state regulators through their respective portals. Archstone ensures you know what needs to be filed, tracks what has been filed, and stores all supporting documentation in one place.
Yes. You can invite counsel as collaborators with scoped access to the compliance module. They can upload filing confirmations, update statuses, add notes, and view the full filing history — without seeing your LP data, deal pipeline, or other fund information.
The tracker includes templates for Form D (Reg D exemption), Form ADV (Parts 1, 2A, 2B), state blue sky notice filings, Form PF (if applicable), annual reports, and custom filing types. You can create custom filing categories for any jurisdiction-specific requirements your fund encounters.
They work together seamlessly. When a deadline fires for a filing (like your annual Form ADV amendment), the deadline links directly to the corresponding filing record. Once you mark the filing as complete and attach the confirmation, the deadline automatically resolves.
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