Registered Advisory Firms

Communications preservation and oversight for SEC and CFTC compliance

Financial advisors trust Smarsh

For over 20 years, registered financial firms and advisors have relied on Smarsh solutions to meet SEC and state retention, recordkeeping and supervisory requirements. Our communications capture, archiving and supervision solutions help you demonstrate investor protection and fiduciary responsibility.

Smarsh works for your whole organization

By organization type

  • Registered investment advisor (RIA)
  • Wealth management
  • Individual financial advisor
E discovery data services icon gradient

Records and compliance managers

Find all your content easily accessible in one place, so you can respond to regulatory requests quickly and conduct internal investigations and audits.
Agents gradient

Investment and financial advisors

Communicate using the most popular channels without fear of a compliance violation and resulting consequences.
Attorneys Clerks Legal Staff gradient

Attorneys, clerks & legal staff

Reduce the time and cost of e-discovery, activate legal holds, and automatically produce content for audits, investigations or litigation.
IT gradient 2

CTOs, CIOs & IT staff

Centralize archived communications in a single tamper-proof, WORM-compliant, comprehensive solution for all your content.
Supervisors gradient

Supervision reviewers

Supervise all communications effectively and efficiently using automated message monitoring and review, customizable policies, and queues. Track team-based review progress with user-friendly dashboards.

Benefits for registered financial firms of all sizes

Solutions to help you meet your compliance challenges

Data security icon gradient

Regulatory compliance

Preserve and store data on tamper-proof media to meet SEC rule 17a-4 and other communications regulations.
having a streamlined supervision workflow gradient

Intuitive compliance workflow

Customize supervision policies and keyword lists and simplify your compliance review workflow.
Defense gradient

Audit trail for compliance

Show proof of supervisory procedures with a detailed audit history of every action taken in the platform.
Exam tested gradient

Exam tested

Be prepared for regulatory examinations or requests with on-demand data production.
Future proof compliance gradient

Fast, simple search

Find what you’re looking for quickly and reliably within your archived electronic communications.
Granular Policies gradient

Administration and migration

Whether you’re a one-person firm or have thousands of branches, it’s easy to manage users and migrate data.

Confidently satisfy regulatory obligations

Purpose-built solutions to help firms of all sizes and structures meet books and records regulations, including 204-2 and 206(4)-7 of the Investment Advisors Act of 1940

204-2 and 206(4)-7 of the Investment Advisors Act of 1940

17 CFR 1.31 — Commodity Futures Trading Commission (CFTC) RULE 1.31

Dodd-Frank Wall Street Reform and Consumer Protection Act

More than 6,500 customers worldwide trust Smarsh to protect their data

Security

Security

Every Smarsh customer benefits from our top-tier data centers and security offerings

Privacy icon

Privacy

We comply with global privacy and data protection regulations to give you peace of mind

Automatic-indexing

Compliance

Stay compliant while enabling your employees to use the latest communications channels

View our products

Empower your teams with a simple, comprehensive compliance, supervision and e-discovery solution

Protect your organization with this unified cybersecurity and compliance platform

Secure your website history with a simple, secure web archiving solution

Stay up to date with the latest resources

Mobile and Text Messaging

Take 25 minutes and see what a modern solution for archiving and compliance looks like.

Get a Quote

Tell us about yourself, and we’ll be in touch right away.

Smarsh handles information you submit to Smarsh in accordance with its Privacy Policy. By clicking "submit", you consent to Smarsh processing your information and storing it in accordance with the Privacy Policy and agree to receive communications from Smarsh and its third-party partners regarding products and services that may be of interest to you. You may withdraw your consent at any time by emailing privacy@smarsh.com.

Contact Us

Tell us about yourself, and we’ll be in touch right away.