Greenboard
AI-based compliance platform for RIAs, broker-dealers and funds: archiving, marketing review, trade and staff compliance
- RIAs
- Broker-dealers
- Asset managers
Compliance & riskCustom quote
Alternatives to Advisor Armor
Advisor Armor sells a cybersecurity compliance program to financial firms, mainly RIAs, wealth management firms and alternative investment managers, that need to meet SEC, FINRA, state and FTC information-security rules. It combines a web portal with a desktop applet and guidance from its staff. Read the Advisor Armor profile.
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
Patrina
Records archiving, compliance suite and CRM for broker-dealers and RIAs
- Broker-dealers
- RIAs
Compliance & riskCustom quote
Behavox
Communication and trade surveillance, archiving and compliance controls software
- Banks and trust companies
- Asset managers
Compliance & riskCustom quote
SteelEye
Trade and communications surveillance and record-keeping software for financial firms
- Asset managers
- Banks and trust companies
- Broker-dealers
Compliance & riskCustom quote
Archive Intel
Communications archiving and supervision for SEC and FINRA regulated firms
- RIAs
- Broker-dealers
Compliance & riskPer seat
RegVerse
AI regulatory change tracking and compliance workflow platform for RIAs and broker-dealers, part of SurgeONE.ai
- RIAs
- Broker-dealers
Compliance & riskCustom quote
Saifr
AI marketing review, communications surveillance and adverse media screening for financial firms
- RIAs
- Broker-dealers
- Asset managers
- Banks and trust companies
SmarshIn the news
Communications capture, archiving and supervision for regulated firms
- RIAs
- Broker-dealers
- Family offices
- Banks and trust companies