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 Saifr
Saifr makes AI compliance software for financial services firms, including separate versions of its marketing review product for banks and insurers. The company started inside Fidelity Labs, the software incubator at Fidelity Investments. Read the Saifr 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
Advisor Armor
Cybersecurity compliance platform for RIAs and wealth firms: risk assessments, endpoint monitoring, exam documentation.
- RIAs
- Broker-dealers
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
SmarshIn the news
Communications capture, archiving and supervision for regulated firms
- RIAs
- Broker-dealers
- Family offices
- Banks and trust companies