RIA Communications Oversight Without the Complexity
One communications compliance platform to meet all your regulatory requirements — no workarounds required.
The compliance platform RIAs trust
Your customers should be your focus — not spending hours on manual compliance work. Our all-in-one platform ensures advisory firms can capture, archive, and monitor communications. Reduce manual work, integrate AI into your workflows, and surface real risks faster to ensure your firm stays compliant and audit-ready.
All-in-one compliance and data intelligence for your entire organization
Leave behind the point solutions with a platform that scales effortlessly — from one person juggling multiple roles to a growing team that needs fast, seamless onboarding.
Investment and financial advisors
Connect and engage with clients on their preferred channels — email, mobile, instant messaging, video calls, and more — compliantly and without worry.
Compliance and records managers
Gain confidence in your communications oversight with faster response to regulatory requests, easier internal investigations, and streamlined records management.
Supervision reviewers
Act faster and with greater precision to reduce false positives — and surface real risks — with streamlined or automated reviews, intuitive dashboards, and customizable policies.
Attorneys, clerks and legal staff
Cut discovery time and cost with defensible workflows, instant legal holds, and free self-exports for audits, investigations, or litigation.
CTOs, CIOs, and IT staff
Establish a single source of truth by archiving communications data in a tamper-proof, WORM-compliant archive that can scale and integrate for future needs.
Compliance and oversight solutions for all types of investment advisors
Registered investment advisor (RIA) | Wealth Management | Individual financial advisor
Smart compliance for RIAs of all sizes
Meet your compliance needs now and in the future.
AI-assisted supervision
Customize supervision policies and keyword lists and simplify your compliance review workflow.
Always audit-ready
Show proof of supervisory procedures with a detailed audit history of every action taken in the platform.
Secure regulatory compliance
Preserve and store data on tamper-proof media to meet SEC rule 17a-4 and other communications regulations.
Exam-tested production
Be prepared for regulatory examinations or requests with on-demand data production.
Fast, simple search
Find what you’re looking for quickly and reliably within your archived electronic communications.
Easy administration and migration
Whether you’re a one-person firm or have multiple locations, it’s effortless to manage users and migrate data.Key regulations
Turn regulatory obligations into peace of mind.
Confidently satisfy regulatory obligations
All-in-one compliance platform helps firms of all sizes and structures meet books and records regulations, including 204-2 and 206(4)-7 of the Investment Advisors Act.
Address all your compliance needs with one intuitive platform
Capture
Capture all communications
Capture communications data in their original format to preserve full context, including email, instant messaging, collaboration tools, social media, mobile, voice, AI, and web.
Archive
Store data, compliantly
Store all captured communications in a single, secure, WORM-compliant archive that’s indexable and built to support industry regulations and supervision.
Surveillance
Spot risk sooner, act faster
Give compliance teams greater speed, precision, and confidence by using AI to detect risks earlier, streamline supervision reviews and gain visibility into emerging issues.
Discovery
Simplify discovery and response
Respond quickly to audits, investigations, and litigation with streamlined access to all captured communications with advanced search, legal holds and easy data exports.
Cyber Compliance
Strengthen your cyber compliance posture
Stay ahead of evolving threats and meet regulatory expectations with confidence with real-time vulnerability detection and fast, effective reconciliations.
Why Smarsh?
Trusted by thousands of RIAs and independent advisory firms, Smarsh helps investment advisors like you stay compliant, responsive, and audit-ready without interrupting your workflow. Our flexible, secure platform captures communications across the tools you and your clients use most — while surfacing insights to mitigate risk and fuel innovation.