RIA Compliance Technology

We provide independent RIAs a consolidated online solution for maintaining, organizing, and collecting compliance tasks and calendars, adviser submissions as well as documenting your overall compliance program. Our compliance portal is a secure dashboard for your executives and compliance staff to identify completed, open, and past due tasks at ease. Additionally, we provide a simple webpage for advisers to submit Advertising, Gifts and Expenses, Political Contributions, Pre/Post Trade Approval and much more. The process has been automated to open and assign tasks, route advertising and time sensitive reviews, send attestation reminders, collect OBA, social media requests and more, making your work easier. We also supply an email archiving system which will help your firm meet email archiving requirements; a 25% discount is offered to advisers who custody with Schwab.