New Dashboards Will Allow RIAs and Broker-Dealers to Eliminate Blind Spots and Add Efficiency by Customizing How Users View Data and Receive Alerts

PORTLAND, Ore. (March 21, 2023)Smarsh, the global leader in digital communications compliance and intelligence, today announced enhancements to its Professional Archive platform that will allow registered investment advisors (RIAs) and broker-dealers to streamline compliance processes, giving them greater visibility into their data through four flexible and easy-to-use dashboards.

“Recent developments such as the Marketing Rule reinforce the requirement of wealth management compliance professionals to demonstrate supervision activity to regulators,” said Sheldon Cummings, General Manager of the Corporate Business Unit at Smarsh. “Our objective is to make compliance easy for firms – enabling more efficiency and effectiveness for those that don’t have the luxury of devoting additional resources to this area of their business. The new Professional Archive dashboards will help solve these challenges by making compliance easier for everyone at no additional cost, thanks to a unique suite of tools that do not exist anywhere else.”

Compliance Made Easy
Through a simple and intuitive workflow that helps to eliminate blind spots for RIAs and broker- dealers and their compliance teams, Smarsh Professional Archive users will be able to automatically:

  • Find and review the digital communications data that they care about most – up to three times faster – with customized alerts and data filtering. This includes user-defined thresholds and alerts for when content is ingested into the archive, or when flagged messages and policy hits fall outside a firm’s expected upper and lower limits.
  • Have reports sent directly to their inbox, allowing users to immediately find issues before logging in to do deeper analysis. This significantly reduces the burden on users’ time constraints while also helping determine if a firm should adjust which data it captures.
  • Respond to management requests, so they are confident that the firm is fulfilling its digital communications compliance obligations on an ongoing basis. This minimizes unnecessary back-and-forth communications between management and personnel.

Purpose-Built Dashboards for Specific Reporting Needs
Several new features in the Smarsh Professional Archive are available now via the Archive and Reviewer Activity Dashboards. Policy and Queue Dashboards will be available to customers this spring.

  • Archive Dashboard: Enables users to instantly view and understand data ingested into the Platform. Users can filter by date, channel (e.g., WhatsApp, Teams and Zoom) and feed (i.e., a channel with multiple accounts).
  • Reviewer Activity Dashboard: Allows compliance managers to view and understand the number and percentage of messages reviewed, messages to be reviewed, the average review count by day and which channels and feeds have been reviewed.
  • Policy Dashboard: Empowers compliance managers to promptly check reviewer activity such as flag rates for each policy and policy hits by channel and feed. It also illuminates policy hit (communications that violate a firm’s lexicon rules) trends over time.
  • Queue Dashboard: Reveals performance trends for review teams. The dashboard surfaces reviewer efficiency and whether reviewers are on track. It captures the total messages assigned to queues, age of messages in queues, and percentage of message reviews completed.

“These dashboard enhancements to Professional Archive reflect our commitment to responding to user feedback on how Smarsh can help simplify the compliance workflows of RIAs and broker-dealers,” continues Cummings. “Given the pace at which regulation is evolving, it is imperative that we continue making improvements to our offerings to make it faster and easier for firms to conduct supervision of their communications.”

About Smarsh:
Smarsh enables companies to transform oversight into foresight by surfacing business-critical signals in more than 100 digital communications channels. Regulated organizations of all sizes rely upon the Smarsh portfolio of cloud-native digital communications capture, retention, and oversight solutions to help them identify regulatory and reputational risks within their communications data before those risks become fines or headlines.

Smarsh serves a global client base spanning the top banks in North America, Europe, and Asia, along with leading brokerage firms, insurers, and registered investment advisors and U.S. state and local government agencies. To discover more about the future of communications capture, archiving and oversight, visit

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