Agentic AI for Wealth Management

Support SEC, FINRA, FCA, MiFID II, and global regulatory requirements with Agentic AI workflows for communications compliance, supervision, and investigations.

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One platform for communications compliance, supervision, and investigations

Agentic AI workflows help wealth and asset managers monitor communications, identify conduct risks, streamline supervisory reviews, and accelerate investigations across all communication channels.

Purpose-built for wealth and asset management firms

Help advisers communicate confidently while supporting SEC, FINRA, FCA, MiFID II, and global regulatory requirements.

Investment firms

Strengthen compliance across every client communication

Agentic AI workflows enable investment firms to support FINRA, SEC, FCA, and global regulatory requirements across communications supervision, recordkeeping, and investigations. Monitor adviser communications, identify risks earlier, and streamline compliance reviews.

Serving

  • Investment firms
  • Hedge funds
  • Investment companies
  • Mutual funds
  • Pension funds
  • Private equity firms
  • REITs
  • Swap dealers
  • Venture capital firms
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Registered financial firms

Confident compliance for RIAs and wealth managers

Help advisers communicate confidently while supporting SEC, FINRA, FCA, MiFID II, and global regulatory requirements. Agentic AI workflows streamline supervision, accelerate reviews, and strengthen oversight across client communications.

Supporting

  • Registered investment advisers (RIAs)
  • Wealth management firms
  • Financial advisers
  • Independent adviser networks
  • Family offices
  • Multi-office advisory firms
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Compliance that moves at the speed of wealth management

Agentic AI workflows enable wealth managers to strengthen oversight, accelerate reviews, and adapt to evolving regulatory requirements with confidence.

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Global regulatory compliance

Navigate evolving regulatory requirements
Support SEC, FINRA, FCA, MiFID II, and other global regulations with workflows designed for supervision, communications compliance, and recordkeeping.
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AI-driven supervision

Strengthen adviser oversight
Use Agentic AI to identify risks, prioritize reviews, and uncover patterns across adviser communications and client interactions.
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Future-ready archiving

Capture every client conversation
Preserve communications across email, messaging, voice, social, and collaboration channels while maintaining regulatory compliance.
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Exam and audit readiness

be prepared for regulatory scrutiny
Accelerate responses to examinations, audits, investigations, and litigation with defensible records and streamlined discovery workflows.
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Data protection and privacy

Protect sensitive client information
Support GDPR, CCPA, and other privacy requirements with secure retention, governance, and data management controls.
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Expert support services

Extend your compliance team
Leverage financial services compliance experts to help optimize policies, streamline operations, and adapt to regulatory change.

Stay compliant, protected and productive

Capture

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Capture all communications
Email, instant messaging, collaboration, social media, mobile, voice, web — capture it all in original format, with full context so you are always audit-ready. Archived content is automatically indexed, enriched, and made searchable so you can confidently meet regulatory obligations.

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Archive

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Store data, compliantly
Retain captured content in the integrated Smarsh Archive or send it to your existing archive or data lake. The Smarsh Archive provides a range of deployment options and customizable retention policies to meet your specific business needs.

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Surveillance

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Simplify supervision and illuminate risk
Zero in on relevant areas of risk in your archived data with customizable, scalable supervision policies. Implement advanced multi-tier review queues, action panels, roles, reporting, escalation, and more to demonstrate evidence of supervision to regulators.

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Discovery

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Reduce discovery time
Streamline early case assessment and litigation response with a single, integrated platform that makes collecting, preserving, reviewing, and exporting content fast and efficient. Reduce risk, act faster, and decrease litigation costs.

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Cyber Compliance

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Strengthen cybersecurity posture
Gain visibility into your overall security posture across devices, networks, employees, and vendors. The Smarsh third-party risk management dashboard allows you to monitor vendor security compliance and satisfy regulatory and security requirements with confidence.

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Why Smarsh?

Smarsh helps wealth and asset managers turn compliance into a competitive advantage. More than 6,500 organizations, including 90% of the world's top financial institutions, trust our platform.

Our secure, scalable infrastructure uses AI-powered insights to provide a complete view of all your communications. By seamlessly capturing data across every channel, we help you stay ahead of evolving regulations and client expectations with precision, speed, and peace of mind.

This means you can focus on growth, not risk.

See the Smarsh Difference