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
RIA compliance platforms
RIA compliance platforms, archiving and surveillance, marketing review, trade monitoring and cybersecurity.
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Showing 17 of 17Most complete profiles first, then A to Z
Advisor Armor
Cybersecurity compliance platform for RIAs and wealth firms: risk assessments, endpoint monitoring, exam documentation.
- RIAs
- Broker-dealers
Compliance & riskCustom quote
Hadrius
AI compliance software for RIAs, broker-dealers and private funds
- RIAs
- Broker-dealers
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
WIZE
Swiss all-in-one PMS, CRM, compliance and order management platform for wealth managers and family offices
- RIAs
- Family offices
- Asset managers
- Banks and trust companies
Advis Network
Unit investment trust (UIT) data, comparison tools and AdFi Score ratings for advisors and home offices
- Broker-dealers
- RIAs
Data & researchTiered
Alwy
All-in-one advice, onboarding, CRM and fund trading platform for Nordic advisors, fund companies and brokers
- RIAs
- Asset managers
- Insurance
Client experienceFree tier, paid plans
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
Oxford Risk
Behavioural risk profiling and suitability software for wealth managers and advisers
- RIAs
- Banks and trust companies
- Asset managers
Data & researchPer seat
Patrina
Records archiving, compliance suite and CRM for broker-dealers and RIAs
- Broker-dealers
- RIAs
Compliance & risk4 integrationsCustom quote
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
SaturnIn the news
AI meeting notes, paperwork and compliance checks for UK advice firms
- RIAs
AI toolsCustom quote
RIA compliance platforms: questions to ask before you buy
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RIA compliance platforms in the news
- Saturn
Inspired Capital closes $450M fourth fund, lifting AUM near $1.4B
- Saturn
Inspired Capital closes fourth fund at $450 million
- Saturn
Inspired Capital closes $450 million fourth venture fund
- 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
- RPAG
Transamerica pooled plans reach $34.2 billion, shifting the focus to retirement income