Luthor is an AI-powered fractional Chief Compliance Officer (CCO) platform that combines human expertise with automated workflows to help financial firms stay SEC and FINRA compliant. Luthor provides ongoing compliance support by auto-filing, monitoring, and proactively flagging risks, allowing firms to focus on growth while maintaining regulatory readiness.
What does Luthor provide?
Luthor offers a unique blend of always-on fractional CCO support delivered by former regulators, securities lawyers, and compliance professionals. The platform's proprietary AI workflows automate critical compliance tasks, including:
- Auto-drafting and filing Form ADV updates
- Ongoing marketing review and risk flagging
- Maintenance of compliance calendars
- Mock SEC exam preparation and exam-readiness
- Policy drafting for procedures, disclosures, and training
- Automated documentation and filing for ADV, U4/U5, and Form CRS
Luthor is designed to integrate seamlessly with existing firm tools and operates as a lightweight, no-login system, minimizing workflow disruption.
Who uses Luthor?
Luthor primarily serves small to mid-sized financial firms—such as RIAs, broker-dealers, and fintechs—seeking expert compliance oversight without hiring a full-time CCO. Its user base includes professionals like Jamie R., Dana S., Xavier Laser, Alex M., Erica C., David L., Luis R., Alex B., Emily R., Olivia Bennett, James Mitchell, James T., and Michael L.
How is Luthor different from traditional compliance solutions?
Luthor stands out by blending AI automation with direct access to compliance experts. Unlike traditional solutions that may rely heavily on manual tracking or require dedicated staff, Luthor automates routine filings, evidence collection, and risk monitoring while ensuring expert oversight. Its lightweight, integration-friendly design reduces adoption barriers and streamlines compliance for fast-moving financial organizations.
Leadership Team
Luthor was founded by Glenn E. (Founder & CEO) and John Espinosa (Co-founder), both alumni of Y Combinator's F24 batch. Their backgrounds in regulatory compliance and technology guide Luthor’s approach to automating and simplifying compliance workflows. Learn more on their About page.
Recent News and Industry Focus
Luthor continues to provide thought leadership on compliance and growth strategies for financial institutions. For example, their recent article, 'Bank Advertising Strategies for Growth and Compliance', explores how AI enhances marketing oversight and regulatory adherence for banks.
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