The system of record for fund data
It is 7am. Forty emails in. The numbers are in there somewhere.
A NAV from the administrator. A weighting change from the index provider. A flow summary from the distributor. Every day the numbers you answer for arrive, and every day they scatter into an inbox. Then a board member asks what the flows were in March, or an exam letter lands with a two-week clock, and it becomes an afternoon of digging. It should not be. Those numbers already arrive. ETFcomply is where they land instead.
Aggregate · Answer · Prove
Provider mail · unsorted · 128 unread
Numbers buried insideDaily NAV strike + shares outstanding
Fund Administrator
Constituent weightings, effective open
Index Provider
Creation / redemption activity
Fund Administrator
Weekly flow and asset summary
Distributor
Holdings file — position detail
Fund Administrator
Compliance summary, prior period
Auditor
The turn
Same numbers. One place. One thread.
Nothing new has to be collected. The mail that floods your inbox becomes a living ledger, and the ledger becomes reports, filings, and an exam-ready export. One path, organized by fund, so the answer is a query instead of an archaeology project.
01
The 7am inbox
Forty provider emails, the numbers buried inside.
02
One ledger per fund
AUM, flows, NAV, creations and redemptions.
03
Finished reports
Daily, quarterly, annual, off the ledger.
04
The 13F
Built from the same holdings you already captured.
05
The exam bundle
The record for any question, exported.
One fund · daily record
Source docs attachedNet assets
Tracked
NAV / close
Daily
MTD flow
Net + / -
Prem / disc
By day
Creations & redemptions
| Date | Created | Redeemed | Net |
|---|---|---|---|
| 05/14 | 2 units | 0 units | +2 |
| 05/13 | 1 unit | 1 unit | 0 |
| 05/12 | 0 units | 3 units | -3 |
| 05/09 | 4 units | 0 units | +4 |
Built from the ledger
Source docs linked| Report | Period | State |
|---|---|---|
| Daily fund report | Prior close | Generated |
| Quarterly fund report | Q1 | Generated |
| Annual fund report | FYE | Generated |
| Board data pack | Meeting cycle | Ready |
What it does
Aggregate. Answer. Prove.
Three verbs for the whole job. Capture what arrives, answer any question from it, and hand over the proof when the board or an examiner asks.
Aggregate
Every stream, filed by fund
Administrator, index provider, distributor, and auditor data comes in by API and email, gets classified, and lands in one ledger per fund. Nothing lives in an inbox anymore.
Answer
Any number, any date
Ask for AUM, flows, NAV, creations and redemptions, or holdings on any date. The figure comes back with its source document attached, so a board question is answered before the meeting ends.
Prove
The proof is already built
Daily, quarterly, and annual reports generate from the ledger. The 13F builds from the same holdings. When the exam letter comes, the response is an export with a hashed manifest, not a scramble.
Data-integrity monitoring watches the ledger itself: expected documents that did not arrive, stale series, and figures that do not reconcile get flagged the same morning.
Connect your AI · MCP
Ask the record in plain English.
How many redemptions last quarter? Point Claude, or any MCP-compatible assistant, at your ETFcomply data with a read-only token scoped to your firm, and ask. It reads the ledger, cites the numbers, and helps you compile reports from your own captured record.
- Read-only, scoped to your firm, revocable tokens
- Works with the AI subscription you already have, no new AI bill from us
- Answers cite the ledger and link the source documents
- Not legal advice: the assistant reports from your data, you decide
Prefer not to connect anything? A built-in question box answers direct data questions, like net redemptions on any fund over any date range, instantly from the ledger with the exact range and record count. No AI required for the numbers.
Ask the ledger · or connect your AI
Read-only · your firmNet redemptions across the lineup last quarter?
Net redemptions were negative for the quarter across the funds you track. The figure is summed from daily creations and redemptions in the ledger.
Answered from your data · numbers are cited, not generated
And the rest
Everything else comes off the same record.
Your recurring reports, the annual advisory-contract response, the fund-document set your website has to keep current, and your people's personal trading. One ledger already captured, feeding all of it.
Templates
Your documents, prefilled
Upload your recurring reports and questionnaires. The system learns the sections, you map the data slots to ledger metrics once, and every period after prefills a draft with current numbers.
15(c) builder
The annual response, assembled
Performance, asset growth, and flows fill from the ledger; last year carries forward section by section. Built so the response that used to eat a week can take an afternoon.
Launch a fund
The next fund, mostly drafted
Your filed prospectus and SAI already hold the template. A guided setup walks the deltas and generates counsel-ready draft documents, then registers the new fund with its ledger and vault live from day one.
Ask the ledger
Direct answers, cited
A question box for metric questions like net redemptions on a fund over a date range, answered from the ledger with the exact range and record count. No AI needed for the numbers.
Documents library
The set that must stay current
Prospectus, summary prospectus, SAI, shareholder reports, and fact sheets auto-filed from email per fund, with the current version, its history, and a staleness hint always at hand.
Code of ethics
Personal trading, handled
Quarterly transaction reports, annual holdings, contributions, gifts, and outside business. Your people file in their own portal, reminders run themselves, and pre-clearance screens against what your funds actually hold.
Filings
A 13F that assembles itself.
The holdings already live in the ledger, so the 13F is not a rebuild. ETFcomply pulls the positions, validates CUSIPs against the official list, and produces an EDGAR-shaped XML package ready to file when the threshold triggers.
Form 13F-HR · from ledger holdings
ValidatedStep 3 of 7 · Risks
Template from your filingsSelect the risks for this fund from your trust’s own risk library. Carried from the boilerplate your filed funds share; the rest of the prospectus is already drafted.
Next · Fees & portfolio managers
Draft for counsel reviewLaunch a new fund
You decide to launch fund four. Then you open fund three.
Most of the next prospectus is already written. It is sitting in the documents you filed for the funds you already run, the same boilerplate carried forward, a handful of fund-specific slots changed. You know it is in there. You just have to find it and copy it by hand, without missing a slot.
ETFcomply finds it for you. It diffs your own filed funds to separate the boilerplate from the fund-specific slots, then a guided setup walks the deltas: objective, strategy, risks from your trust’s own risk library, fees, and portfolio managers. It generates a draft prospectus and SAI as Word documents plus a launch checklist, and registers the new fund so its ledger and vault are live from day one.
Drafts are prepared for your counsel to review. ETFcomply does not file with the SEC, does not replace counsel, and is not legal advice. Built so the 85% that repeats is already drafted, and your attention goes to the part that is genuinely new.
Code of ethics
Your employee wants to buy something your fund is holding.
Every personal-trading system can check a name against a restricted list. Only one can tell you the security is sitting in your own fund today, because only one holds the fund ledger and the personal-trading record in the same place. That is the question a pre-clearance request is really asking, and it is the one a standalone tool cannot answer.
Quarterly transaction reports, annual holdings, political contributions, gifts and entertainment, outside business activities, and the annual acknowledgment. Open the periods you need in one action, assign them to the people who owe them, and let the reminders run themselves. Your people get their own sign-in that reaches their own filings and nothing else — never your fund data.
- Rule 204A-1 and 17j-1 reports, filed and certified in the browser
- Broker CSV import that tells you what it could not read, never guesses
- Pre-clearance screened against your restricted list and your funds
- Certifications frozen at signing — the record cannot be rewritten later
Request · awaiting your decision
ReviewBuy · 250 shares · an access person
Requested this morning
Automatic screen
The screen advises. A person decides, and the decision is recorded.
When the exam letter arrives
The letter arrives with a two-week clock.
For most issuers that letter starts a scramble: numbers scattered across an inbox, the one figure the examiner wants two weeks from being found. Not here. ETFcomply keeps the fund data and its source documents organized as they arrive, so the response is an export, not an archaeology project. Each bundle ships with a hashed manifest and hands the examiner the record for any question, built and cited.
That letter asks for the adviser’s personal-trading records in the same breath as the fund’s books. Both are in here, so both go in one bundle.
- Fund data export for any date range, with source documents
- Books and records by rule cite, coverage gaps surfaced
- 13F filing history and portfolio evidence
- 15(c) board pack for the advisory-contract file
- Code of ethics records: certifications, personal trading, pre-clearance
Exam bundles · hashed manifest
How it works
Day one you connect. By Friday the ledger answers.
Pick your service providers, connect your email read-only, and the ledger fills against your own funds. Onboarding is hands-on, so the record is working before your first login.
01
Pick your service providers
Choose your administrator, index provider, and distributor from a registry of known providers. Ultimus connects by direct API; the rest arrive by email.
02
Connect email, read-only
Grant read-only Gmail or Microsoft 365 access and provider documents are captured, classified, and linked to the right fund automatically. Read-only, filtered to your providers, and entirely optional: you can upload files directly instead.
03
The ledger fills itself
Funds map to their data streams, the per-fund ledger populates, and your first daily, quarterly, and annual reports generate.
Run compliance like the operator you are.
You did not take this job to be a filing clerk. Book a conversation. We connect your provider stack, map your funds, and let the ledger fill before your first login.