A small fund or independent RIA shouldn’t need to stitch five vendors to get what a tier-two bank gets out of the box. Convexity gives your team a research surface, an AI stack with citations, a permissions-ready seat model, and audit logs — ready for reg-filing day.
01 / What the team actually does
Most small funds and RIAs run with three functional seats — research, portfolio, compliance — even when one person wears two hats. Convexity is built around those three workflows instead of forcing a single-analyst shape on the whole team.
02 / Duties vs. tools
Not a legal opinion — just an honest mapping of the operational and compliance duties a small advisory firm actually owns, against the surfaces in Convexity that help you evidence them.
| Duty | Description | On Convexity |
|---|---|---|
| IA Rule 206(4)-7 | Annual compliance review — document policies, test them, evidence follow-through. | Audit log export |
| Advertising Rule | Testimonials and performance claims must carry attribution and disclosure. | Shareable memo links carry identity |
| Books & Records | Retain research artifacts, decisioning evidence, and communications. | Memos + exports + chat history |
| Client Reporting | Quarterly and annual performance reporting to clients and the IC. | Portfolio snapshots via Plaid |
| Market Data | Real-time pricing sufficient for decisioning and timestamped evidence. | Polygon real-time on Pro / Pro Plus |
| Best Execution | Document decision support and basis for trade selection. | Cited AI memos + timestamped evidence |
| Information Security | Encryption at rest and in flight; credential hashing. | TLS 1.3, Fernet field-level (AES-128-CBC + HMAC-SHA256), Argon2id |
| Access Control | Role-based views, observer seats, and an audit trail per user. | Seat roles (Founder tier) + audit log |
03 / The multi-seat workflow
The same three stages every serious research operation runs, mapped to the seats above. One surface, one audit log, one export.
SEC filings, XBRL financials, real-time market data, insider flow, FedSpeak, patents, and alt-data streams land on the ticker page automatically.
Analyst drafts memos with cited AI over the filing corpus; PM validates against portfolio holdings and factor exposure; deep research for the hard names.
04 / Deliverables your clients see
Every output ships with a citation trail back to the primary source. When a client asks where a number came from, the answer is one link away — not a rebuild from spreadsheets.
AI memo framework with a four-page template — thesis, performance, holdings commentary, risks — and every cited source auto-linked to the underlying filing paragraph.
AI-curated, filtered to the names you actually hold, branded for your firm on the Founder tier and exportable as PDF or routed into email.
Token-gated shareable URLs for research views, ticker pages, and filing summaries. Configurable expiry so a Q1 link doesn’t surface in Q4.
Typed in /research, cited as you go, one-click PDF export when a client or IC member asks for a standalone.
05 / Pricing for teams
No marketing guesses — these are the live quotas. The full pricing page lists every feature flag.
06 / Get started
Forward the security posture and Plaid attestation to your CCO while you’re signing up. Adoption is the whole ball game — we’ve removed the parts that usually kill it.