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Our simple email archiving solution is easy to navigate, fast to use and makes it easy to document your reviews, your keywords and flags emails that need to be followed up on with your team.
Product Description
About this Product
Simple Email Archiving, Review and Documentation solution for RIAs:
- Simple web interface for review and documentation
- Easy setup with reasonable prices and termination fees
- SEC RULE 17a-4(f) Compliant (WORM Storage)
About 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.
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Serving RIAs Since
Discount for Schwab Clients?
0719-93C0
API integration is available through Schwab OpenView Gateway®, which is provided by Performance Technologies, Inc. (“PTI”). Single sign-on is provided by PTI. Daily data files and trading integration are available through Charles Schwab & Co., Inc. ("CS&Co"), a registered broker-dealer and member SIPC. Not all third party providers listed on this site have integration agreements with Schwab. Schwab OpenView Gateway® and Schwab OpenView MarketSquare™ are services of PTI.
References to third parties on this site (whether such parties are vendors participating in a service of PTI or independent advisors using a service of a participating vendor) are not an endorsement or recommendation of, or an opinion (favorable or unfavorable), or advice about, or a referral to any product or service of any third party. Advisors are solely responsible for evaluating, selecting, and purchasing products and services offered by third party vendors. Unless indicated otherwise, third parties are independent and not affiliated with PTI or its affiliates.
Schwab Advisor Services includes the custody, trading, and support services of Charles Schwab & Co., Inc. ("CS&Co"), a registered broker-dealer and member SIPC, and the technology products and services of PTI. PTI and CS&Co are separate companies affiliated as subsidiaries of The Charles Schwab Corporation, but their products and services are independent of each other. PTI’s integration solutions integrate data about accounts custodied at CS&Co.
Access to Electronic Services may be limited or unavailable during periods of peak demand, market volatility, systems upgrade, maintenance, or for other reasons.