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

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.

Investment and financial advisors

Communicate using the most popular channels without fear of a compliance violation and resulting consequences.

Attorneys, clerks & legal staff

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

CTOs, CIOs & IT staff

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

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

Regulatory compliance

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

Intuitive compliance workflow

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

Audit trail for compliance

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

Exam tested

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.

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