Assessments & Scorecards
Self-scoring instruments calibrated against published regulator findings. Each one produces a banded maturity score, a per-category radar, and a remediation roadmap that links every gap to the Wealth Data Set or checklist that closes it.
Each instrument produces a numeric score and a calibrated band (Ad Hoc → Optimized) anchored to a published source.
Per-category breakdown reveals where evidence is thinnest, not just an aggregate read.
Every gap maps to a specific Wealth Data Set, archetype, or checklist that closes it.
Take it online with state saved, or download the XLSX (live formulas) or PDF (printable working copy).
Wealth-Tech Test-Data Maturity Assessment
12 minMost wealth-tech teams don't fail an audit for lack of tests — they fail because engineering can't tell compliance what the corpus covers. Score where your practice sits, Ad Hoc to Optimized.
Reg BI Audit-Readiness Scorecard
10 minCare Obligation is where most firms fail a Reg BI exam — not missing KYC data, but a recommendation log that never links suitability fields to the outcome. Score all four obligations and find that gap first.
Synthetic-Data Fidelity Self-Assessment
8 minFidelity stands on four legs — consistent math, plausible demographics, coherent trajectories, and real scenario coverage. Score a corpus on each: broken math sinks the rest, however good the demographics look.
AML Program Data-Coverage Scorecard
10 minAn AML examiner asks two things per typology: can you fire the rule, and can you produce the evidence after. Score structuring, layering, source-of-funds, and sanctions coverage before an exam does.
SOC 2 Type II Readiness Scorecard for Fintechs
12 minMost SOC 2 Type II failures aren't missing controls — they're an access review or change ticket in the wrong form. Score CC6, the most-cited fintech finding, and CC8 change management before the observation window opens.
GLBA Safeguards Rule Compliance Scorecard
10 minTechnical safeguards are the most-cited element in FTC Safeguards Rule consent orders — MFA gaps and unsegmented test environments dominate. Score every 16 CFR 314.4 element before the FTC does.
Robo-Advisor Pre-Launch Defensibility Assessment
10 minThe SEC's 2021 robo-advisor sweep found recurring gaps in suitability evidence, conflict disclosure, and oversight of automated allocation. Score your program against each finding before the next sweep does.
Wealth-Tech Edge-Case Coverage Score
8 minThe golden path gets tested by QA and your first customers. ITIN filer KYC, RMD aggregation, and IRMAA cliffs don't — that's where production bugs come from. Score how much of that territory your corpus covers.
Form ADV Disclosure Completeness Scorecard
8 minForm ADV is the first document an SEC examiner reads — and inconsistencies between Part 1A's numbers, the Part 2A narrative, and Form CRS are the fastest route to a finding. Score all four parts first.
Cybersecurity Incident-Readiness Scorecard for Fintechs
8 minReg S-P and the FTC Safeguards Rule now require notifying customers faster than most firms' incident-response cycles run. Score whether you'd detect, contain, and notify in time — or find out mid-incident.