Signal Oversight
Compliance and Market Intelligence for Registered Investment Advisers
Signal Oversight gives registered investment advisers the evidence to document their own oversight: quarterly custodian due diligence, a monthly market monitor covering wholesaler and market center activity, and a biweekly report on market liquidity conditions.
Reports
Signal Oversight offers three separate intelligence reports for registered investment advisers. Together, these reports provide a complete picture of asset custodians and the market conditions that impact every security transaction you place on behalf of your clients. This is a key part of your best execution and fiduciary responsibilities. Every Signal Oversight report is filled with the information you need to make the best decisions for your clients and your business.Your subscription includes all three Signal Oversight reports.
Quarterly Custodian Report
RIA custodian due diligence is difficult and often overlooked. It doesn't have to be.The Quarterly Custodian Report is a due diligence review of the custodian(s) you select, covering execution quality & order routing practices (605 & 606 Reports), regulatory history, and key disclosures. Each issue addresses one custodian in isolation — we don't compare custodians against each other, and we don't assign an overall score or rating. You get a factual record you can drop directly into your own best execution file.Custodians covered:
Altruist
Axos Clearing
Fidelity Brokerage Services
Goldman Sachs
Interactive Broker
LPL
Pershing
Raymond James
RBC
Schwab
Wells Fargo
Coverage as of Q3 2026. Coverage subject to change. Signal Oversight, LLC is not affiliated with, sponsored by, or endorsed by any custodian covered.
Monthly Market Monitor
The Monthly Market Monitor is a concise monthly report covering every wholesaler and market center we track. Each issue of the Monthly Market Monitor consolidates Rule 605 execution quality data for all covered entities - that's 8 wholesaler firms and 12 exchanges - into a single document, set against broader market conditions for the month. Each issue closes with memo-ready language you can drop straight into your best-execution file.Wholesalers and market centers currently covered:
Cboe BZX
Cboe BYX
Cboe EDGA
Cboe EDGX
Citadel Securities
Hudson River Trading
Jane Street JNST
Jane Street JSJX
Morgan Stanley/MSPL
NASDAQ
NASDAQ NTX
NASDAQ PSX
NYSE
NYSE American
NYSE ARCA
NYSE National
NYSE Texas
Susquehanna
Two Sigma
UBS - UBSA
UBS - UBSS
Virtu Americas
Coverage as of August 2026. Coverage subject to change. Signal Oversight, LLC is not affiliated with, sponsored by, or endorsed by any wholesaler or market center covered.
Biweekly Liquidity Report
The Bi-weekly Liquidity Report is a short, current read on market liquidity: conditions and events from the past two weeks, and what's on the horizon that could affect liquidity going forward. Designed to keep liquidity risk on your radar in near real time, rather than discovering it after the fact.
Click the link below to see samples of all three reports. Please note, these reports do not contain actual data. The sample reports are mock-ups to show the scope and scale of each report.
One subscription. All three reports.
Pricing
One flat annual rate. Choose your coverage level below.
All Custodians — $400/year
Quarterly Custodian Due Diligence Report (all 11 custodians), Monthly Market Monitor, Biweekly Liquidity Report.
Single Custodian — $300/year
Quarterly Custodian Due Diligence Report (1 custodian), Monthly Market Monitor, Biweekly Liquidity Report.
Sign Up
All Custodians
Get every quarterly report in one subscription. The All Custodians plan includes the due diligence report for each custodian we cover, published every quarter.
Single Custodian
Prefer to follow only the custodians your firm uses? Select a custodian below to go to the sign-up page for its quarterly report.
Contact
Questions, suggestions, or special pricing for your company or members? We'd like to hear from you.Whether you have a question about a report, would like to see a particular custodian or feature added, or are interested in subscription pricing for your firm or professional group, please get in touch. We read every message and will respond promptly.