One firm, everything included, paid at signup with 30 days money back. The website check stays free and needs no account, and you can look around a sample record before you decide.
Everything in Plumb, for one firm. No setup fee, no per-user charge, and no tier that holds back the export. You pay when you sign up, and the free website check needs no account at all.
a year, prepaid · about $166 a month
For the first 50 firms only. Your price stays at $1,990 for as long as you stay subscribed; once 50 firms have joined, the founding price closes to new firms.
Card via Stripe · 30 days money back · export any time
a month · $2,988 over a year
Month to month. Cancel whenever you like, and keep every record you made.
Card via Stripe · 30 days money back · cancel any time
Money back on both plans. If Plumb is not worth it in the first 30 days, write to hello@plumbcompliance.com and we refund the full amount to the card you paid with. No form, no conditions. Cancelling never locks you out: your records stay readable and exportable.
No free trial: the website check is the free part. Questions before you pay? Write to hello@plumbcompliance.com. Refund requests and anything about your account are handled by a person. Data handling and Reg S-P vendor answers are on the security page.
These are not like for like. A consultant gives advice, and Plumb does not. But much of what a small firm pays for is keeping the record straight, and that part is what Plumb does.
| Option | Price | Over a year | What it covers |
|---|---|---|---|
| Compliance consultant | $8k to $15k a year | $8,000 to $15,000 | Advice, policies and procedures, mock exams, often the binder as well. |
| RIA in a Box | $350 to $900 a month | $4,200 to $10,800 | Compliance software and support, in tiers. |
| Smartria | $200 to $500 a month | $2,400 to $6,000 | Compliance software, in tiers. |
| Plumb, Founding | $1,990 a year | $1,990 | The record: review log, evidence chain, registers, calendar, exam binder.No advice. You make the decisions. |
| Plumb, Monthly | $249 a month | $2,988 | The same, month to month. |
No. Plumb is a record-keeping tool. Its checks point to the rule and say what is commonly missing, but whether a piece of marketing is acceptable is a decision for you as CCO, or for your counsel. Plumb records the decision you make, along with the content you made it about.
Plumb is built to hold none. It keeps your marketing, your registers, your calendar and your decisions, and has no place for account numbers, Social Security numbers, holdings or client lists. The one place a person is named is the promoters register, for testimonials and endorsements you already publish. The security page sets out what is stored, where, and the answers to the usual vendor due-diligence questions.
Yes, at any time, including after you cancel. The exam binder export is one ZIP: a printable index, CSVs of every register, the review log with the content reviewed, and the hash chain with its verification result. Your records are always readable and exportable. We will never hold a firm's own records hostage.
Write to hello@plumbcompliance.com within 30 days of your first payment and we refund the full amount to the card you paid with. No form and no conditions, on both plans. Your records stay readable and exportable after that.
The website check is free and needs no account. The rest of Plumb proves itself over months, as the review log, the calendar and the evidence chain build up, not in 14 days. So instead of a trial you pay at signup and have 30 days to ask for your money back in full.
Treat it as one and put it on your vendor list: it is the cautious answer, and it is what an examiner would expect to see. The security page answers the usual due-diligence questions (what is stored, where, who can see it, encryption, breach notice, export and deletion) and offers them as a file for your vendor records.
Yes. Write to hello@plumbcompliance.com. Factual questions get a quick answer from our support process; refund requests and anything about your account are handled by a person. You can also look around a read-only sample record first, at plumbcompliance.com/demo.
No. It means these automated checks found nothing on the pages they read. They can miss things, they can flag things that are fine, and they read up to eight pages. The report says so at the top.
A small independent software company. We are engineers, not lawyers or compliance consultants, which is why Plumb keeps records and cites rules rather than giving opinions. Write to hello@plumbcompliance.com; refund requests and anything about your account are handled by a person.