Carefull
Elder-fraud and scam monitoring plus family caregiving tools that advisors offer to clients
- RIAs
- Broker-dealers
- Banks and trust companies
Client experienceCustom quote
Compliance & risk
RIA compliance platforms, archiving and surveillance, marketing review, trade monitoring and cybersecurity.
Filter
Showing 35 of 35Most complete profiles first, then A to Z
Greenboard
AI-based compliance platform for RIAs, broker-dealers and funds: archiving, marketing review, trade and staff compliance
- RIAs
- Broker-dealers
- Asset managers
Compliance & risk2 integrationsCustom quote
Advisor Armor
Cybersecurity compliance platform for RIAs and wealth firms: risk assessments, endpoint monitoring, exam documentation.
- RIAs
- Broker-dealers
Compliance & riskCustom quote
Behavox
Communication and trade surveillance, archiving and compliance controls software
- Banks and trust companies
- Asset managers
Compliance & riskCustom quote
Hadrius
AI compliance software for RIAs, broker-dealers and private funds
- RIAs
- Broker-dealers
Compliance & riskCustom quote
Presults
Archiving and AI-assisted supervision of email, text, social and website content for financial advisory firms
- RIAs
Compliance & riskCustom quote
RIA Compliance Technology
Modular compliance software for RIAs and compliance consultants: email archiving, trade monitoring and task management
- RIAs
- Broker-dealers
Compliance & riskCustom quote
RPAGIn the news
Technology platform for retirement plan advisors and their firms
- RIAs
- Broker-dealers
- Asset managers
- Retirement plans
Data & researchTiered
SteelEye
Trade and communications surveillance and record-keeping software for financial firms
- Asset managers
- Banks and trust companies
- Broker-dealers
Compliance & riskCustom quote
Wealthtender
Client review collection and advisor directory listings for financial advisors
- RIAs
Marketing & growthPer seat
Abacus
Managed IT and cybersecurity services for investment and financial firms
- RIAs
- Broker-dealers
- Family offices
- Asset managers
Compliance & riskSubscription
Advis Network
Unit investment trust (UIT) data, comparison tools and AdFi Score ratings for advisors and home offices
- Broker-dealers
- RIAs
Data & researchTiered
Archive Intel
Communications archiving and supervision for SEC and FINRA regulated firms
- RIAs
- Broker-dealers
Compliance & risk3 integrationsPer seat
BondWave
Fixed income portfolio and trade analytics for wealth firms and RIAs
- RIAs
- Asset managers
Data & research1 integration
CurrentClient
Compliant texting and business phone system for financial advisors
- RIAs
Client experience9 integrationsPer seat
Due Diligence Works
Rollover and Reg BI documentation software plus product due diligence research for advisors, BDs and banks
- RIAs
- Broker-dealers
- Banks and trust companies
Compliance & risk4 integrationsPer seat
Dynamic Advisor Solutions
RIA platform, outsourced operations and TAMP for independent advisors
- RIAs
TAMP & managed accounts4 integrationsBasis points on assets
FiduciaryRx
Plan-sponsor deliverable and fiduciary scoring software for 401(k) and 403(b) advisors, from FiduciaryWorks
- RIAs
- Broker-dealers
- Retirement plans
Finity360
Suite of native Salesforce apps for document management, onboarding forms, supervision and backup at wealth firms
- RIAs
- Broker-dealers
Family-office technology2 integrationsCustom quote
itSynergy
Managed IT and cybersecurity services for registered investment advisers
- RIAs
Compliance & riskCustom quote
LeapXpert
Governed client messaging and capture for regulated firms
- Banks and trust companies
- Asset managers
Compliance & risk3 integrationsCustom quote
MirrorWeb
Communications capture, archiving and AI supervision for SEC- and FINRA-regulated firms
- RIAs
- Broker-dealers
Compliance & risk8 integrations
MyRepChat
Compliant text messaging for financial advisors and insurance agents
- RIAs
- Broker-dealers
Client experience14 integrationsPer seat
Oxford Risk
Behavioural risk profiling and suitability software for wealth managers and advisers
- RIAs
- Banks and trust companies
- Asset managers
Data & researchPer seat
Pagefreezer
Website, social media and chat archiving for regulated firms
- Broker-dealers
- Banks and trust companies
- Asset managers
Compliance & riskCustom quote
Patrina
Records archiving, compliance suite and CRM for broker-dealers and RIAs
- Broker-dealers
- RIAs
Compliance & risk4 integrationsCustom quote
Qwil Messenger
Branded secure messaging app for client communication, with file sharing, e-signature, scheduling and audit trail
- RIAs
Client experience9 integrationsPer seat
RedBlack
Multi-custodian rebalancing, trading and portfolio accounting software for RIAs, wealth managers and family offices.
- RIAs
- Family offices
Portfolio management1 integration
RegVerse
AI regulatory change tracking and compliance workflow platform for RIAs and broker-dealers, part of SurgeONE.ai
- RIAs
- Broker-dealers
Compliance & riskCustom quote
Responsive
Back-office automation for Canadian independent portfolio management firms: onboarding, KYC monitoring and audit trail
- Asset managers
- RIAs
Integrations & operations12 integrationsCustom quote
Saifr
AI marketing review, communications surveillance and adverse media screening for financial firms
- RIAs
- Broker-dealers
- Asset managers
- Banks and trust companies
Compliance & risk4 integrations
SaturnIn the news
AI meeting notes, paperwork and compliance checks for UK advice firms
- RIAs
AI toolsCustom quote
SmarshIn the news
Communications capture, archiving and supervision for regulated firms
- RIAs
- Broker-dealers
- Family offices
- Banks and trust companies
Theta Lake
Capture, archiving and supervision for video, voice, chat and AI communications
- RIAs
- Broker-dealers
Compliance & risk11 integrations
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Compliance & risk in the news
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- Saturn
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- Saturn
Inspired Capital closes $450 million fourth venture fund
- Smarsh
Ezra Group's AI connector directory grows from 69 to 244 in ten weeks
- Saturn
Advised investors ask AI more and verify less, Evergreen.ai study finds
- Saturn
Evergreen.ai study: advised AI users act unchecked at nearly triple unadvised rate