Patrina

Patrina sells compliance software and records archiving to broker-dealers and registered investment advisers, from single-office firms to large brokerages. It has been in business since 1993 and also serves firms that fall under CFTC and NFA rules.

Its hosted archive stores email, instant messages, text messages, social media, trade records, customer statements, account forms and image files in one searchable system, with supervisory review tools for compliance staff. A separate compliance suite handles branch office audits, complaint reporting, outside business activities, gifts and entertainment, political contribution disclosures, marketing material review, and policies and procedures. Singular by Patrina pairs a CRM with those compliance tools, with contact records, a sales pipeline that estimates firm revenue by product, email, text and LinkedIn messaging from one inbox, dashboards, and daily account and position data from custodians and from Plaid.

Patrina Corporation is based in Goshen, New York, and Mark Opila is chief executive. The company says it takes part in FINRA's Preferred Pricing Program and does not use auto-renewing contracts. It lists Zapier, Fireflies and Holistiplan among the products Singular connects to, and it runs a referral and resale program for compliance consultants.