A documented decision process without crossing into individualized advice
MarketGuard helps independent financial professionals maintain a rule-based, verifiable decision record. Every verdict is traceable to a specific user-confirmed rule — creating a defensible audit trail that you own and control.
The problem: undocumented decisions
When independent advisors and planners make portfolio decisions without a formal rule-check record, they have no audit trail to show their process was disciplined and non-arbitrary. Regulators, clients, and E&O insurers increasingly expect documented evidence of a consistent decision methodology.
MarketGuard's answer: rule-stamped Evidence Packs
Every decision evaluated by MarketGuard produces a PDF Evidence Pack. Each pack contains the rule causality table — showing exactly which user-configured rule was checked, its limit, the current and projected values, and the result (Passed / Breached). The pack is SHA-256 hashed and timestamped for tamper-evident archival.
How it fits into your workflow
Configure rules
You set concentration limits, trade size caps, sector maxima, and cash floors. MarketGuard does not generate rules for you.
Confirm rules
You confirm each rule with a timestamp. This becomes the "confirmed_at" date in every Evidence Pack.
Evaluate a proposed action
Run any proposed trade through the engine. Get a REFUSED / LIMITED / APPROVED verdict in seconds.
Download Evidence Pack
Export a SHA-256-stamped PDF with the full rule causality table. Store it in your records.
What MarketGuard is NOT
A registered investment adviser (RIA)
MarketGuard is not registered with the SEC or any state securities authority. It operates under the publisher's exclusion from the Advisers Act §202(a)(11)(D).
A broker-dealer or clearing firm
MarketGuard does not execute, clear, or facilitate securities transactions on your behalf.
A source of personalized signals
MarketGuard does not generate directional market signals. It evaluates your proposed actions against rules you confirmed.
A substitute for legal counsel
Advisors should consult qualified legal and compliance counsel regarding their specific regulatory obligations.
Designed for these professionals
Independent RIAs
Document that every client account action was evaluated against pre-set concentration and risk rules before execution.
Fee-only planners
Maintain a rule-stamped log of all portfolio change proposals — even when the client ultimately decides whether to proceed.
Compliance demonstration
Show regulators and E&O insurers a consistent, rule-based process with timestamped Evidence Packs as supporting documentation.
Ready to start building your decision record?
Start with a free trial. Card required for identity verification — no charge.