Red — No Relationship
Fund FlowNew contacts from data enrichment or cold lists. No substantive pre-existing relationship established. Fund-related outreach is automatically blocked.
Flow Guard Compliance
506(b) Compliance on Autopilot.
Every interaction logged. Every relationship tracked. Every message screened. Build SEC-ready audit trails without lifting a finger.
$1.4B+SEC penalties in recent years
100%Outreach screened
0Manual compliance entries
SECAudit-ready exports
RELATIONSHIP STATUS
The traffic light system.
Yellow — Building
Fund FlowActive conversations happening. Relationship building in progress. Flow Guard allows general engagement but screens for solicitation language.
Green — Substantive
Fund FlowSubstantive pre-existing relationship verified through documented interactions. Full fund-related outreach allowed with complete audit trail.
FEATURES
Compliance that works while you sleep.
Automatic relationship tracking
Every email, call, text, and meeting is logged and timestamped. Flow Guard builds the relationship timeline automatically — no manual data entry.
Message blocking for non-compliant contacts
Try to send a fund pitch to a Red contact? Blocked. Flow Guard prevents compliance violations before they happen, not after.
Complete audit trail
Every interaction is stored with timestamps, channel, content, and relationship status at time of contact. Export SEC-ready documentation in one click.
SEC evidence documentation
If the SEC comes knocking, you have proof. Every substantive relationship is backed by a documented trail of interactions, dates, and progression.
506(b) and 506(c) workflow enforcement
Deal-level awareness of your exemption status. Flow Guard adjusts allowed outreach and language rules based on whether your offering is 506(b) or 506(c).
Relationship scoring
Automatically scores every contact based on interaction depth and frequency. Know exactly which relationships qualify as substantive at a glance.
WHY IT MATTERS
The cost of non-compliance is catastrophic.
SEC enforcement actions against private fund advisers have increased significantly. A single 506(b) violation can unwind your entire offering, force investor rescission, and result in personal liability.
- Most operators track compliance in spreadsheets — or not at all
- Flow Guard makes compliance automatic, provable, and bulletproof
- $1.4B+ in SEC penalties against private fund advisers in recent years
- One violation can unwind your entire offering and force rescission
AUDIT-READY
Everything documented. Always.
Timestamped interactions
Every touchpoint logged with date, time, channel, and content. The record is built automatically as you communicate.
Relationship progression
Visual timeline showing how each relationship evolved over time. Prove substantive status at any point in the relationship history.
One-click export
Generate SEC-ready compliance reports for any contact or time period. If the SEC comes knocking, you are ready in minutes.
COMPARE
DIY compliance stack vs. Flow Guard
| Feature | DIY compliance stack | Flow Guard |
|---|---|---|
| Automatic relationship status classification | ||
| Blocks non-compliant outreach in real time | ||
| Timestamped interaction log per contact | ||
| One-click SEC-ready audit export | ||
| 506(b) vs. 506(c) exemption enforcement | ||
| Zero manual data entry required |
Protect your raise.
Don't let a compliance oversight unwind your fund. Flow Guard is included in every paid plan.