Smarsh Named a Leader in 2025 Gartner® Magic Quadrant™ for Digital Communications Governance and ArchivingLearn more
AI Supervision and Compliance for Growing Financial Firms
Capture and supervise communications at scale. Smarsh helps you reduce regulatory compliance review burden, detect risk earlier, and turn communications data into actionable insights, so you stay compliant without added complexity or headcount.
Trusted by 6,500+ financial firms — industry recognized
Turn communications data into a strategic advantage
Put your communication data to work. Gain visibility across 100+ channels, stay ahead of rising volumes and regulatory pressure, and act faster while meeting SEC and FINRA requirements.
Work smarter, move faster
Accelerate reviews with AI embedded in key workflows. Reduce manual effort, keep pace with growing communication channels, and focus your team on higher-value work.
Surface risk, strengthen compliance
Identify higher-risk activity sooner with a unified view across communications. Make faster decisions while maintaining regulatory compliance and improving team oversight.
Built for growing financial teams
RIAs
RIAs rely on Smarsh to capture and store their communications data to meet their fiduciary duty and comply with SEC Rule 204-2. With Smarsh, you can prove you always act in your clients' best interests. You'll also have a complete audit trail encompassing all business-related communications — from emails to social media.
Wealth managers
Wealth managers trust our robust technology to capture and store all client communications. Every client service interaction, across all financial planning activities, is recorded. This ensures compliance, builds client trust, and allows for quick retrieval in complex financial situations.
Broker-dealers
Broker-dealers depend on Smarsh to capture and store all their communications data. Our technology makes it easy to meet strict regulations like SEC Rules 17a-3 and 17a-4 and FINRA Rule 4511. We ensure every business communication is recorded for audits, market integrity and investor protection.
Full-service brokerage firms
Full-service brokerage firms entrust their communications data to Smarsh. From calls to emails, across all your services, we help you meet strict SEC and FINRA regulations. Lower risk across your broker-dealer and RIA activities as you build client trust.
Banks and trust
Banks and trust companies, especially private banks and wealth divisions, rely on sophisticated Smarsh technology to capture and store data in compliance with complex banking, trust, and securities regulations. Our technology protects sensitive client information and ensures the integrity and accessibility of records across your offerings.
Financial planners and CFPs
Both financial planners and certified financial planners (CFPs) rely on Smarsh to uphold their ethical and fiduciary responsibilities. We can help you maintain detailed records of client discussions and financial plans, demonstrate diligence, protect client interests, and ensure compliance.
Unify your communications. Unlock deeper insight.
Platform
Bring communications into one place to create a connected view of risk. Add context across channels, ensure nothing is missed, and uncover patterns that help you act with precision while meeting SEC and FINRA requirements.
Reduce cyber risk
Stay ahead of cyber risk with clear visibility across your environment. Monitor and remediate risks quickly, identify issues earlier, and strengthen your security posture while demonstrating cyber compliance.
Intelligent supervision and risk management that scales with you
Turn compliance into a driver of efficiency and growth. Combine AI supervision, unified data, and streamlined workflows to reduce manual work, surface risk earlier, and scale oversight as your business grows.
Simplify workflows and focus efforts
Use Smarsh AI built for financial communications to reduce review noise, automate routine tasks, and highlight higher-risk activity. Help teams move faster, prioritize effectively, and keep pace with growth.
The compliance standard, right sized for you
Access proven technology that brings scale, consistency, and precision to your compliance program. Get capabilities trusted by global firms, tailored to fit your team while supporting growth and efficiency.
Trusted technology, regulatory-grade credibility
Start with a platform recognized by auditors and relied on by firms worldwide. Strengthen your compliance posture with technology built to meet regulatory expectations and support oversight across teams.
Recognized for compliance excellence
Smarsh was named a 2025 Gartner® Magic Quadrant™ Leader for Digital Communications Governance and Archiving Solutions.
Reach your goals faster with Smarsh Services
Our experts handle the complexity — delivering quick deployment, seamless compliance, and audit-ready processes — so your team can stay focused on serving clients and growing the business with confidence.
Frequently asked questions
AI supervision is the use of artificial intelligence to monitor, analyze, and review business communications for compliance risks. It helps firms reduce manual review time while improving accuracy and consistency across growing communication volumes.
Growing financial firms scale compliance by centralizing communications, automating reviews, and using AI to prioritize risk. This enables consistent oversight as the business expands without increasing compliance headcount.
Financial firms must capture business communications across email, messaging apps, collaboration tools, voice, and social media. Coverage depends on how business is conducted, making multi-channel capture essential for meeting SEC and FINRA requirements.
AI improves compliance monitoring by identifying patterns, flagging anomalies, and surfacing high-risk behavior. This allows compliance teams to focus on what matters most and respond to potential issues earlier.
Growing firms should look for a platform with multi-channel capture, AI-driven supervision, and scalable workflows. The right solution should adapt as the firm grows while reducing complexity and supporting regulatory requirements.