carta-compliance-routing — Compliance Router
Routes to Form ADV for regulatory filing data, executed inline from a content
mirror of carta-investors:carta-form-adv — see carta-form-adv is unchanged
in Architecture Notes below. Additional Compliance capabilities (document
intelligence, SPA coverage audit) are internal-only today and will be wired into
this router as they reach general availability for external users.
Scope note: This router covers the Compliance skill(s) available to external
customers today. Document Intelligence and SPA Audit exist as internal skills but
are not yet GA for external users — see Future routes below.
Route Map
| Intent |
Skill |
| Form ADV, Schedule D, regulatory AUM, Form PF, annual SEC filing |
references/form-adv.md |
Customer Intent Framework
Use this as the semantic layer when Step 1 signal phrases don't produce an exact match.
| What the customer is trying to do |
Typical phrasing |
Route |
| Pull regulatory filing data — AUM, Schedule D, Form PF, annual SEC filing prep |
"pull our Form ADV data", "what's our regulatory AUM", "Schedule D for this year's filing", "what do I need for Form PF Section 1", "how much AUM do we report to the SEC", "filing season is coming up" |
form-adv |
Step 1 — Parse Intent [Deterministic]
Respond immediately without extended reasoning.
STOP rows — handle before routing:
| Message signals |
Action |
| "409A", "409A valuation", "409A pricing", "stock option pricing" |
Stop. 409A is a separate cap table valuation product — not covered here. Tell the user: "409A is handled by a separate workflow — reach out to your Carta account manager or use the 409A valuation process directly." |
| "cap table", "option grants", "equity management", "share classes", "equity ownership" |
Stop. Cap table management is out of scope for this router. Tell the user: "Cap table management isn't handled here — use the cap table tools directly in Carta." |
Route rows — classify and proceed to Step 2.5:
| Message signals |
Route |
| "Form ADV", "Schedule D", "regulatory AUM", "Form PF", "annual filing", "annual amendment", "SEC filing", "total AUM", "AUM for filing", "AUM for the SEC", "regulatory assets", "AUM across all funds", "filing season", "RAUM", "how much AUM to report", "pull our Form ADV data" |
form-adv → proceed to Step 2.5 |
If the route matches: proceed to Step 2.5.
If no route matches: proceed to Step 2.
Step 2 — Clarify Intent [Interactive]
Fire only if Step 1 returned no clear match.
Reason over the message first. If you can confidently determine the user wants Form ADV filing data, proceed directly to Step 2.5 without asking.
If you genuinely cannot determine the intent, call AskUserQuestion:
Question: "What would you like to do?"
Options:
- Form ADV filing data — Pull regulatory AUM, Schedule D §7.B.(1), and Form PF data for your annual SEC filing
- Something else — Describe what you need and I'll point you in the right direction
| User picks |
Action |
| Option 1 — Form ADV filing data |
Proceed to Step 2.5 |
| Option 2 — Something else |
Respond: "I specialize in Form ADV regulatory filing data. Tell me what you're trying to do and I'll point you to the right Carta workflow." Then stop. |
Out-of-scope
| Topic |
Suggestion |
| LP reporting, LP quarterly reports |
/carta-lp-reporting-routing or /carta-soi |
| Fund financials, NAV, trial balance |
Consolidating financials skills |
| Performance benchmarks, IRR, TVPI, peer percentile |
/carta-performance-benchmarks |
| Co-investor analysis |
carta-co-investors |
| Wants Carta's Fund Admin team to do something |
carta-fund-admin-requests |
Step 2.5 — MCP session + Fund Admin SKU gate [Hard gate]
If the Carta MCP server is not connected (noMcp environment), skip this step and proceed to Step 3.
Otherwise, execute in order:
1. Establish session identity
Call welcome to establish session identity and resolve <SERVER>. The welcome response includes is_fund_admin_user — a boolean that reflects whether the authenticated user has an active Carta Fund Admin subscription.
If welcome returns an error, surface: "I wasn't able to connect to your Carta account. Make sure the Carta MCP server is connected in Settings → Connectors, then try again." and stop.
2. Check Fund Admin access (hard gate)
welcome result |
Action |
is_fund_admin_user: true |
Proceed to Step 3. |
is_fund_admin_user: false |
Surface the No Fund Admin message below and stop. |
| Field absent / call errors |
Proceed to Step 3 — let the DWH query surface the access error rather than blocking on an uncertain check. |
No Fund Admin message (surface verbatim):
Form ADV regulatory filing data requires a Carta Fund Administration subscription. I can't find one on your account. If your firm uses Carta Fund Admin, reconnect Carta in Settings → Connectors; otherwise reach out to your Carta account manager to get Fund Admin set up.
Step 3 — Route [Deterministic]
Output leads with the routing action. Respond immediately without extended reasoning.
Routing to Form ADV.
Then read and execute the Form ADV instructions inline:
Read ${CLAUDE_PLUGIN_ROOT}/skills/carta-compliance-routing/references/form-adv.md
Follow that file's instructions exactly, starting from Step 1 with the user's original message as context. All references/form-adv/ paths cited within that file resolve to ${CLAUDE_PLUGIN_ROOT}/skills/carta-compliance-routing/references/form-adv/.
Do not summarize what the target skill will do. Do not add any other output before the routing announcement.
If Something Goes Wrong
| Situation |
Response |
| User asks about something that isn't Form ADV filing data |
Use Step 2 AskUserQuestion to clarify — offer Form ADV filing data or "Something else" |
| User asks about 409A valuations |
Out of scope — separate cap table valuation product, see STOP rows |
| User asks about cap table ownership |
Out of scope — see STOP rows |
| User asks about LP reporting or fund financials |
Out of scope — suggest /carta-lp-reporting-routing or the consolidating financials skills |
| User asks about fund performance, IRR, or TVPI benchmarks |
Out of scope — suggest /carta-performance-benchmarks |
| User asks to view all SPA documents, DI page, purchaser breakdowns |
Not yet GA externally — see Future routes below |
| User asks about SPA coverage, missing/unexecuted SPAs |
Not yet GA externally — see Future routes below |
Architecture Notes
See docs/architecture-notes.md (maintainer-only; not published to
carta/plugins) for the orchestrator pattern, the mirror-vs-migration
rationale for carta-form-adv, the references layout, and the steps to
promote a future route to active.
Future routes — not yet active
These routes exist as internal skills today. They are not active in this
version — do not route to them.
Document Intelligence
- Status: Not yet available to external users
- Signals: "document intelligence", "DI page", "show all SPAs", "all my SPA documents", "all SPA data", "see all subscription agreements", "SPA document view", "purchaser view", "show all purchasers", "full view of SPA", "all subscription docs", "SPA in one table", "browse investment subscription docs", "open the DI page"
- CTA until GA: "Viewing all SPA documents in one table is coming to external users soon. Reach out to your Carta account manager or contact Carta Support to request early access."
- Skill when live:
carta-investors:carta-doc-intelligence
SPA Audit
- Status: Not yet available to external users
- Signals: "SPA audit", "SPA coverage", "missing SPAs", "unexecuted SPAs", "SPA status", "document completeness", "which companies are missing SPAs", "which are missing subscription agreements", "outstanding SPA issues", "SPA completeness", "SPA gap", "SPA coverage gap", "portfolio SPA completeness", "investments still need subscription agreements"
- CTA until GA: "SPA coverage audits are coming to external users soon. Reach out to your Carta account manager or contact Carta Support to request early access."
- Skill when live:
carta-investors:carta-spa-audit
Disambiguation note (for when both routes above go live)
"SPA" alone is ambiguous between Document Intelligence (viewing) and SPA Audit
(coverage/gap checking). When both routes are promoted, add a disambiguation
table to Step 2 keyed on intent verbs: "view" / "see" / "browse" / "in one table"
→ Document Intelligence; "missing" / "unexecuted" / "coverage" / "audit" / "gap"
→ SPA Audit.
1---2name: carta-compliance-routing3description: Routes to Form ADV for regulatory filing data. Trigger on any of: "Form ADV", "Schedule D", "regulatory AUM", "Form PF", "annual filing", "annual amendment", "SEC filing", "total AUM", "AUM for filing", "AUM for the SEC", "regulatory assets", "AUM across all funds", "filing season", "RAUM", "how much AUM to report", "pull our Form ADV data", /carta-compliance-routing. NOT FOR: 409A valuations, cap table ownership, LP reporting, fund financials, performance benchmarks, SPA document views, SPA coverage audits.4---56<!-- carta:instrumentation-fallback -->7<IMPORTANT>8`_instrumentation_v2` is anonymous Carta skill-usage telemetry. ALWAYS include it in your Carta MCP tool-call arguments — the plugins' hooks overwrite it when they run, so always sending it is safe. Shape:9`_instrumentation_v2: {"skills": ["<plugin>:<skill>", ...], "model": "<model-id>", "surface": "<value>"}`10`skills` is cumulative for the session: list every Carta skill loaded so far, not only the one driving this call. Namespace each entry `"plugin:skill"` and keep them oldest-first, with the most recently used skill last. List only Carta skills (`carta-cap-table:*`, `carta-crm:*`, `carta-investors:*`) — never skills from non-Carta plugins.11`surface` is the Claude surface you are running in: `"chat"` (claude.ai or the Claude app, i.e. regular chat, not Cowork), `"cowork"` (Cowork mode), `"code-terminal"`, `"code-desktop"`, or `"excel"`. Omit it entirely if none of those describe your surface or you cannot tell — do not guess and do not invent another value.12</IMPORTANT>1314# carta-compliance-routing — Compliance Router1516Routes to Form ADV for regulatory filing data, executed inline from a content17mirror of `carta-investors:carta-form-adv` — see **`carta-form-adv` is unchanged**18in Architecture Notes below. Additional Compliance capabilities (document19intelligence, SPA coverage audit) are internal-only today and will be wired into20this router as they reach general availability for external users.2122> **Scope note:** This router covers the Compliance skill(s) available to external23> customers today. Document Intelligence and SPA Audit exist as internal skills but24> are not yet GA for external users — see **Future routes** below.2526---2728## Route Map2930| Intent | Skill |31|---|---|32| Form ADV, Schedule D, regulatory AUM, Form PF, annual SEC filing | `references/form-adv.md` |3334---3536## Customer Intent Framework3738Use this as the semantic layer when Step 1 signal phrases don't produce an exact match.3940| What the customer is trying to do | Typical phrasing | Route |41|---|---|---|42| **Pull regulatory filing data** — AUM, Schedule D, Form PF, annual SEC filing prep | "pull our Form ADV data", "what's our regulatory AUM", "Schedule D for this year's filing", "what do I need for Form PF Section 1", "how much AUM do we report to the SEC", "filing season is coming up" | `form-adv` |4344---4546## Step 1 — Parse Intent [Deterministic]4748Respond immediately without extended reasoning.4950**STOP rows — handle before routing:**5152| Message signals | Action |53|---|---|54| "409A", "409A valuation", "409A pricing", "stock option pricing" | **Stop.** 409A is a separate cap table valuation product — not covered here. Tell the user: "409A is handled by a separate workflow — reach out to your Carta account manager or use the 409A valuation process directly." |55| "cap table", "option grants", "equity management", "share classes", "equity ownership" | **Stop.** Cap table management is out of scope for this router. Tell the user: "Cap table management isn't handled here — use the cap table tools directly in Carta." |5657**Route rows — classify and proceed to Step 2.5:**5859| Message signals | Route |60|---|---|61| "Form ADV", "Schedule D", "regulatory AUM", "Form PF", "annual filing", "annual amendment", "SEC filing", "total AUM", "AUM for filing", "AUM for the SEC", "regulatory assets", "AUM across all funds", "filing season", "RAUM", "how much AUM to report", "pull our Form ADV data" | `form-adv` → proceed to Step 2.5 |6263If the route matches: proceed to Step 2.5.64If no route matches: proceed to Step 2.6566---6768## Step 2 — Clarify Intent [Interactive]6970Fire only if Step 1 returned no clear match.7172Reason over the message first. If you can confidently determine the user wants Form ADV filing data, proceed directly to Step 2.5 without asking.7374If you genuinely cannot determine the intent, call `AskUserQuestion`:7576**Question:** "What would you like to do?"7778**Options:**791. **Form ADV filing data** — Pull regulatory AUM, Schedule D §7.B.(1), and Form PF data for your annual SEC filing802. **Something else** — Describe what you need and I'll point you in the right direction8182| User picks | Action |83|---|---|84| Option 1 — Form ADV filing data | Proceed to Step 2.5 |85| Option 2 — Something else | Respond: "I specialize in Form ADV regulatory filing data. Tell me what you're trying to do and I'll point you to the right Carta workflow." Then stop. |8687### Out-of-scope8889| Topic | Suggestion |90|---|---|91| LP reporting, LP quarterly reports | `/carta-lp-reporting-routing` or `/carta-soi` |92| Fund financials, NAV, trial balance | Consolidating financials skills |93| Performance benchmarks, IRR, TVPI, peer percentile | `/carta-performance-benchmarks` |94| Co-investor analysis | `carta-co-investors` |95| Wants Carta's Fund Admin team to *do* something | `carta-fund-admin-requests` |9697---9899## Step 2.5 — MCP session + Fund Admin SKU gate [Hard gate]100101If the Carta MCP server is not connected (`noMcp` environment), skip this step and proceed to Step 3.102103Otherwise, execute in order:104105**1. Establish session identity**106107Call `welcome` to establish session identity and resolve `<SERVER>`. The `welcome` response includes `is_fund_admin_user` — a boolean that reflects whether the authenticated user has an active Carta Fund Admin subscription.108109If `welcome` returns an error, surface: "I wasn't able to connect to your Carta account. Make sure the Carta MCP server is connected in Settings → Connectors, then try again." and stop.110111**2. Check Fund Admin access (hard gate)**112113| `welcome` result | Action |114|---|---|115| `is_fund_admin_user: true` | Proceed to Step 3. |116| `is_fund_admin_user: false` | Surface the **No Fund Admin** message below and stop. |117| Field absent / call errors | Proceed to Step 3 — let the DWH query surface the access error rather than blocking on an uncertain check. |118119**No Fund Admin message (surface verbatim):**120121> Form ADV regulatory filing data requires a Carta Fund Administration subscription. I can't find one on your account. If your firm uses Carta Fund Admin, reconnect Carta in **Settings → Connectors**; otherwise reach out to your Carta account manager to get Fund Admin set up.122123---124125## Step 3 — Route [Deterministic]126127Output leads with the routing action. Respond immediately without extended reasoning.128129> Routing to Form ADV.130131Then read and execute the Form ADV instructions inline:132133```134Read ${CLAUDE_PLUGIN_ROOT}/skills/carta-compliance-routing/references/form-adv.md135```136137Follow that file's instructions exactly, starting from Step 1 with the user's original message as context. All `references/form-adv/` paths cited within that file resolve to `${CLAUDE_PLUGIN_ROOT}/skills/carta-compliance-routing/references/form-adv/`.138139Do not summarize what the target skill will do. Do not add any other output before the routing announcement.140141---142143## If Something Goes Wrong144145| Situation | Response |146|---|---|147| User asks about something that isn't Form ADV filing data | Use Step 2 `AskUserQuestion` to clarify — offer Form ADV filing data or "Something else" |148| User asks about 409A valuations | Out of scope — separate cap table valuation product, see STOP rows |149| User asks about cap table ownership | Out of scope — see STOP rows |150| User asks about LP reporting or fund financials | Out of scope — suggest `/carta-lp-reporting-routing` or the consolidating financials skills |151| User asks about fund performance, IRR, or TVPI benchmarks | Out of scope — suggest `/carta-performance-benchmarks` |152| User asks to view all SPA documents, DI page, purchaser breakdowns | Not yet GA externally — see **Future routes** below |153| User asks about SPA coverage, missing/unexecuted SPAs | Not yet GA externally — see **Future routes** below |154155---156157## Architecture Notes158159See `docs/architecture-notes.md` (maintainer-only; not published to160`carta/plugins`) for the orchestrator pattern, the mirror-vs-migration161rationale for `carta-form-adv`, the references layout, and the steps to162promote a future route to active.163164---165166## Future routes — not yet active167168These routes exist as internal skills today. They are **not active** in this169version — do not route to them.170171### Document Intelligence172173- **Status:** Not yet available to external users174- **Signals:** "document intelligence", "DI page", "show all SPAs", "all my SPA documents", "all SPA data", "see all subscription agreements", "SPA document view", "purchaser view", "show all purchasers", "full view of SPA", "all subscription docs", "SPA in one table", "browse investment subscription docs", "open the DI page"175- **CTA until GA:** "Viewing all SPA documents in one table is coming to external users soon. Reach out to your Carta account manager or contact Carta Support to request early access."176- **Skill when live:** `carta-investors:carta-doc-intelligence`177178### SPA Audit179180- **Status:** Not yet available to external users181- **Signals:** "SPA audit", "SPA coverage", "missing SPAs", "unexecuted SPAs", "SPA status", "document completeness", "which companies are missing SPAs", "which are missing subscription agreements", "outstanding SPA issues", "SPA completeness", "SPA gap", "SPA coverage gap", "portfolio SPA completeness", "investments still need subscription agreements"182- **CTA until GA:** "SPA coverage audits are coming to external users soon. Reach out to your Carta account manager or contact Carta Support to request early access."183- **Skill when live:** `carta-investors:carta-spa-audit`184185### Disambiguation note (for when both routes above go live)186187"SPA" alone is ambiguous between Document Intelligence (viewing) and SPA Audit188(coverage/gap checking). When both routes are promoted, add a disambiguation189table to Step 2 keyed on intent verbs: "view" / "see" / "browse" / "in one table"190→ Document Intelligence; "missing" / "unexecuted" / "coverage" / "audit" / "gap"191→ SPA Audit.
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