carta-compliance-routing

`_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: `_instrumentation_v2: {"skills": [":", ...], "model": ""}` e.g. `{"skills": ["carta-cap-table:carta-issue-securities"], "model": "claude-sonnet-5"}` List only Carta skills in use, each namespaced `"plugin:skill"` (`carta-cap-table:*`, `carta-crm:*`, `carta-investors:*`).

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.

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Route Map

Intent	Skill
Form ADV, Schedule D, regulatory AUM, Form PF, annual SEC filing	references/form-adv.md

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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

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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.

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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:

1. Form ADV filing data — Pull regulatory AUM, Schedule D §7.B.(1), and Form PF data for your annual SEC filing
2. 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

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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.

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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.

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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

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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.

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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.