Investment advisers and asset managers · Supervision to proof
You supervise the obligations. Can you prove your advisers can apply them?
Turn your compliance manual and code of ethics into training in minutes. Keep it current when the rules change. Prove what your advisers actually know about the fiduciary standard, per person.
Built from what you already have
No outside firm. No months. Your manual becomes training.
Upload a manual. Generate a course.
Built from what you already have
No outside firm. No months. Your manual becomes training.
Point Nexera at your compliance manual, your code of ethics, an SOP. It drafts a course grounded in your source that you edit, map, and ship the same day, tuned to a new adviser, a portfolio manager, or a supervised person. One click translates it into 40+ languages.
Generated from your own source and pinned to it
Upload, review, publish the same day, with your sign-off
One-click translation into 40+ languages
Tune the same source to a new adviser, a PM, or a supervised person
Upload
0:00
Compliance Manual.pdf · your source
Generate
0:42
Outline + activities
Publish
8:12
Course live · same day
But speed isn't the point
Fast training is easy. Proof your advisers can apply the standard is the hard part.
01
You're likely doing this well
Annual compliance training, code-of-ethics attestations, onboarding, updates when a rule changes. Delivered on schedule, with completion records to prove it.
02
But the gap is still there
A completion record shows attendance. It doesn't show an adviser will recognize a conflict embedded in a real recommendation, know when a performance figure needs substantiation, or resist the incentive pulling the other way.
03
And that's what an exam finds
SEC and state exams probe whether supervision actually works, not attendance. "We trained everyone" is the weakest sentence in the room when a finding traces to a judgment your team was meant to hold.
The loop
From content to proof, and current the whole way.
See, per person, who actually holds the judgment.
The loop
From content to proof, and current the whole way.
One system that creates the training, keeps it aligned to the rule, and shows what your advisers actually know, per person.
Create: turn your manual into training in minutes
Connect: pin each module to the rule it covers
Measure: see, per person, who holds the judgment
Retrain: bring only the people who drifted current
Knowledge graph
Adviser obligations · 24 K-Bytes
New
0
Familiar
0
Comfortable
3
Confident
12
Fluent
9
Fiduciary standard
12 kb
76%
Duty to clients
80%
Fiduciary duty
Best-interest standard
Conflicts
64%
Conflicts of interest
Ethics and marketing
8 kb
68%
Code of ethics
78%
Code of ethics
Marketing
58%
Marketing rule (advertising substantiation)
Disclosure
4 kb
80%
Form ADV
80%
Form ADV disclosure
Create
Turn your manual into training
Turn your manual into training in minutes.
Connect
Pin each module to the rule
Pin each module to the rule it covers.
Measure
See who holds the judgment
See, per person, who holds the judgment.
Retrain
Only the people who drifted
Bring only the people who drifted current.
When the rule changes
Trained on what's true today. When the rule changes, only the people who drifted get retrained.
When a rule changes, only the people on the old version get retrained.
When the rule changes
Trained on what's true today. When the rule changes, only the people who drifted get retrained.
Courses are pinned to your own materials and, where available, to authoritative sources, so training reflects the rule as it stands now. When a marketing-rule or best-interest change lands, Nexera refreshes what went stale and leaves the rest untouched.
See the change the week it lands
Refresh what went stale, leave the rest
Retrain only people still on the old version
Rule updated
Marketing rule
Retrain queued
24 advisers
Module refreshed
Advertising review
Mapped
Form ADV
Your corpus
Your manual
Your manual, code of ethics, and SOPs. The material you own, and the ground every course is pinned to.
Public sources
Authoritative publications
Official regulatory and government publications, connected where a live source is available. For example: govinfo, eCFR.
Your licensed data
Bring your own corpus
Bring your own licensed corpus and train on it, within the terms of your license.
Available sources depend on jurisdiction, publication access, and your own licensing. We map what's connectable for your use case during onboarding.
Outcomes
Proof that writes itself.
Minutes
From manual to authored course
From manual to authored course, the same session.
Automatic
Retrain only who drifted
When a rule changes, only the people still on the old version get the update.
Auditable
Cited learner evidence
Every completion ties back to cited knowledge, traceable to the rule.
For investment advisers
Stop assigning training. Start assuring competence.
See Nexera in a 30 min demo tailored to your firm. No pitch deck, no fluff.