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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
Communication and trade surveillance, archiving and compliance controls software
London, GBFounded 2014Private-equity backedbehavox.com
Behavox makes compliance software for financial institutions: communication surveillance, trade surveillance, regulatory archiving and conduct controls run on one data layer. The company says its customers include 70 global banks along with hedge funds, asset managers, insurers, commodity traders and energy firms.
Its products are sold separately or together. Quantum reviews voice and text communications, including chat apps and WhatsApp, in more than 50 languages. Polaris monitors trading activity. Intelligent Archive keeps communications and trades in one searchable regulatory archive. Trident handles conflicts of interest and personal account dealing, Poseidon runs control-room restrictions and pre-clearance, and Pathfinder turns regulatory updates into approved policies. Falcon looks for insider-risk signals, and AI agents the company calls Digital Employees run multi-step compliance workflows. Behavox also sells alert review and managed services, and a front-office analytics product, Mosaic, which came from its 2025 purchase of Mosaic Smart Data.
Behavox was founded in 2014 and has its global headquarters in London, with offices in New York, Washington, Montreal, Toronto and Tokyo. The company says it has been profitable since 2025. A managing director of HPS Investment Partners, part of BlackRock, sits on its board. Pricing is not published.
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