Smarsh Professional Archive Wins 2023 Award for Best Compliance Technology Platform

“Wealthies” Presented at New York Awards Ceremony Honoring Excellence in Wealth Management Industry

Recognition Serves to Further Validates Strength and Comprehensiveness of Platform

NEW YORK (September 25, 2023) Smarsh®, the global leader in digital communications compliance and intelligence, today announced that its Professional Archive was honored at the Awards (or “Wealthies”) as the best compliance platform. Smarsh was among six finalists for the award, which was in the broader technology provider category. The honor was awarded on Sept. 7 at the Wealthies ceremony in New York.

The recognition underscores the value that the Professional Archive brings to Smarsh customers. It also demonstrates a commitment to providing customers with innovative technology that can keep up with the demands of an evolving regulatory landscape while making compliance easy for wealth management firms. The award follows several enhancements to the Professional Archive platform, including four new purpose-build reporting modules that help firms eliminate blind spots and significantly reduce review and audit preparation time. The comprehensive platform offers intuitive, efficient and reliable digital communications compliance tools for registered investment advisories and broker-dealers.

“It was an honor for Smarsh to be recognized at the Wealthies this year, and we thank for this award,” said Sheldon Cummings, GM of the Smarsh Corporate business. “As regulatory pressures increase and the number of digital messages continue to proliferate, a growing number of RIAs and broker-dealers across the industry are increasingly leveraging Professional Archive to help them to not only streamline compliance processes but get greater visibility into their data.”

Smarsh Chief Executive Officer Kim Goodman was also honored as a finalist for CEO of the Year in the broader technology providers category.

The industry awards program was created nine years ago to honor the best companies, people and organizations in wealth management. More than 400 finalists were chosen from 92 categories. received more than 1,000 nominations from 413 companies for this year’s competition.


About Smarsh
Smarsh enables companies to transform oversight into foresight by surfacing business-critical signals in their digital communications. 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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