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Private Wealth Daily

Archiving and surveillance

RIA compliance platforms, archiving and surveillance, marketing review, trade monitoring and cybersecurity.

  • 19 vendors
  • Updated October 26, 2026
  • Free, editorial
News on Archiving and surveillance in your edition and on My Desk.
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19 Archiving and surveillance vendors

Most complete profiles first, then A to Z · No company pays to be listed or for where it appears

Greenboard

Compliance & risk

AI-based compliance platform for RIAs, broker-dealers and funds: archiving, marketing review, trade and staff compliance

  • Archiving and surveillance
  • Marketing review
  • RIA compliance platforms
Built for
RIAs, Broker-dealers, Asset managers
Pricing · Region
Custom quote · US
Works with
Microsoft Teams, Slack

Behavox

Compliance & risk

Communication and trade surveillance, archiving and compliance controls software

  • Archiving and surveillance
  • Trade and code-of-ethics monitoring
Built for
Banks and trust companies, Asset managers
Pricing · Region
Custom quote · UK
Works with
None listed yet

Hadrius

Compliance & risk

AI compliance software for RIAs, broker-dealers and private funds

  • AI assistants and agents
  • Archiving and surveillance
  • Marketing review
Built for
RIAs, Broker-dealers
Pricing · Region
Custom quote · US
Works with
None listed yet

Presults

Compliance & risk

Archiving and AI-assisted supervision of email, text, social and website content for financial advisory firms

  • Archiving and surveillance
Built for
RIAs
Pricing · Region
Custom quote · US
Works with
None listed yet

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RIA Compliance Technology

Compliance & risk

Modular compliance software for RIAs and compliance consultants: email archiving, trade monitoring and task management

  • Archiving and surveillance
  • RIA compliance platforms
  • Trade and code-of-ethics monitoring
Built for
RIAs, Broker-dealers
Pricing · Region
Custom quote · US
Works with
None listed yet

SteelEye

Compliance & risk

Trade and communications surveillance and record-keeping software for financial firms

  • Archiving and surveillance
  • Trade and code-of-ethics monitoring
Built for
Asset managers, Banks and trust companies, Broker-dealers
Pricing · Region
Custom quote · UK
Works with
None listed yet

Archive Intel

Compliance & risk

Communications archiving and supervision for SEC and FINRA regulated firms

  • Archiving and surveillance
  • Marketing review
Built for
RIAs, Broker-dealers
Pricing · Region
Per seat · US
Works with
LinkedIn, Microsoft Dynamics 365, Zocks

Aveni

AI tools

AI meeting notes, advice file review and conduct monitoring for UK advice firms

  • AI assistants and agents
  • Meeting notetakers
  • Archiving and surveillance
Built for
RIAs, Banks and trust companies
Pricing · Region
UK
Works with
None listed yet

CurrentClient

Client experience

Compliant texting and business phone system for financial advisors

  • Client communications
  • Archiving and surveillance
Built for
RIAs
Pricing · Region
Per seat
Works with
Salesforce, Redtail, Wealthbox, Archive Intel +5 more

Finity360

Family-office technology

Suite of native Salesforce apps for document management, onboarding forms, supervision and backup at wealth firms

  • Onboarding and account opening
  • Archiving and surveillance
  • CRM add-ons and workflow
Built for
RIAs, Broker-dealers
Pricing · Region
Custom quote
Works with
Salesforce, Quik!

LeapXpert

Compliance & risk

Governed client messaging and capture for regulated firms

  • Client communications
  • Archiving and surveillance
Built for
Banks and trust companies, Asset managers
Pricing · Region
Custom quote · US
Works with
Microsoft Teams, Cisco Webex, Slack

MirrorWeb

Compliance & risk

Communications capture, archiving and AI supervision for SEC- and FINRA-regulated firms

  • Archiving and surveillance
Built for
RIAs, Broker-dealers
Pricing · Region
US
Works with
Microsoft Teams, Zoom, Bloomberg, Google Chat +4 more

MyRepChat

Client experience

Compliant text messaging for financial advisors and insurance agents

  • Client communications
  • Archiving and surveillance
Built for
RIAs, Broker-dealers
Pricing · Region
Per seat
Works with
Salesforce, Redtail, Wealthbox, AdvisorEngine +10 more

Pagefreezer

Compliance & risk

Website, social media and chat archiving for regulated firms

  • Archiving and surveillance
Built for
Broker-dealers, Banks and trust companies, Asset managers
Pricing · Region
Custom quote · Other
Works with
None listed yet

Patrina

Compliance & risk

Records archiving, compliance suite and CRM for broker-dealers and RIAs

  • Archiving and surveillance
  • Marketing review
  • RIA compliance platforms
Built for
Broker-dealers, RIAs
Pricing · Region
Custom quote · US
Works with
Holistiplan, Fireflies, Plaid, Zapier

Qwil Messenger

Client experience

Branded secure messaging app for client communication, with file sharing, e-signature, scheduling and audit trail

  • Client communications
  • E-signature and document vaults
  • Archiving and surveillance
Built for
RIAs
Pricing · Region
Per seat
Works with
Salesforce, Wealthbox, Curo, HubSpot +5 more

Saifr

Compliance & risk

AI marketing review, communications surveillance and adverse media screening for financial firms

  • AI assistants and agents
  • Archiving and surveillance
  • Marketing review
Built for
RIAs, Broker-dealers, Asset managers, Banks and trust companies
Pricing · Region
US
Works with
Adobe GenStudio for Performance Marketing, Microsoft Azure AI Foundry, ServiceNow Financial Services Operations, Superhuman (formerly Grammarly)

Smarsh

Compliance & risk

In the news

Communications capture, archiving and supervision for regulated firms

  • Archiving and surveillance
  • Cybersecurity
Built for
RIAs, Broker-dealers, Family offices, Banks and trust companies
Pricing · Region
US
Works with
None listed yet

Theta Lake

Compliance & risk

Capture, archiving and supervision for video, voice, chat and AI communications

  • Archiving and surveillance
Built for
RIAs, Broker-dealers
Pricing · Region
US
Works with
Salesforce, Microsoft Teams, Zoom, Asana +7 more
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