Behavox
Communication and trade surveillance, archiving and compliance controls software
- Banks and trust companies
- Asset managers
Compliance & riskCustom quote
Compliance & risk
RIA compliance platforms, archiving and surveillance, marketing review, trade monitoring and cybersecurity.
Filter
Showing 22 of 22Most complete profiles first, then A to Z
Hadrius
AI compliance software for RIAs, broker-dealers and private funds
- RIAs
- Broker-dealers
Compliance & riskCustom quote
RPAGIn the news
Technology platform for retirement plan advisors and their firms
- RIAs
- Broker-dealers
- Asset managers
- Retirement plans
Data & researchTiered
SteelEye
Trade and communications surveillance and record-keeping software for financial firms
- Asset managers
- Banks and trust companies
- Broker-dealers
Compliance & riskCustom quote
Wealthtender
Client review collection and advisor directory listings for financial advisors
- RIAs
Marketing & growthPer seat
Abacus
Managed IT and cybersecurity services for investment and financial firms
- RIAs
- Broker-dealers
- Family offices
- Asset managers
Compliance & riskSubscription
Archive Intel
Communications archiving and supervision for SEC and FINRA regulated firms
- RIAs
- Broker-dealers
Compliance & risk3 integrationsPer seat
BondWave
Fixed income portfolio and trade analytics for wealth firms and RIAs
- RIAs
- Asset managers
Data & research1 integration
CurrentClient
Compliant texting and business phone system for financial advisors
- RIAs
Client experience9 integrationsPer seat
Dynamic Advisor Solutions
RIA platform, outsourced operations and TAMP for independent advisors
- RIAs
TAMP & managed accounts4 integrationsBasis points on assets
itSynergy
Managed IT and cybersecurity services for registered investment advisers
- RIAs
Compliance & riskCustom quote
LeapXpert
Governed client messaging and capture for regulated firms
- Banks and trust companies
- Asset managers
Compliance & risk3 integrationsCustom quote
MirrorWeb
Communications capture, archiving and AI supervision for SEC- and FINRA-regulated firms
- RIAs
- Broker-dealers
Compliance & risk8 integrations
MyRepChat
Compliant text messaging for financial advisors and insurance agents
- RIAs
- Broker-dealers
Client experience14 integrationsPer seat
Oxford Risk
Behavioural risk profiling and suitability software for wealth managers and advisers
- RIAs
- Banks and trust companies
- Asset managers
Data & researchPer seat
Pagefreezer
Website, social media and chat archiving for regulated firms
- Broker-dealers
- Banks and trust companies
- Asset managers
Compliance & riskCustom quote
Patrina
Records archiving, compliance suite and CRM for broker-dealers and RIAs
- Broker-dealers
- RIAs
Compliance & risk4 integrationsCustom quote
Saifr
AI marketing review, communications surveillance and adverse media screening for financial firms
- RIAs
- Broker-dealers
- Asset managers
- Banks and trust companies
Compliance & risk4 integrations
SaturnIn the news
AI meeting notes, paperwork and compliance checks for UK advice firms
- RIAs
AI toolsCustom quote
SmarshIn the news
Communications capture, archiving and supervision for regulated firms
- RIAs
- Broker-dealers
- Family offices
- Banks and trust companies
Theta Lake
Capture, archiving and supervision for video, voice, chat and AI communications
- RIAs
- Broker-dealers
Compliance & risk11 integrations
Compliance & risk: questions to ask before you buy
Private Wealth Daily member access
Continue this analysis
The full checklist our desk uses to question Compliance & risk vendors, free with your work email.
Enter a valid work email to continue reading.
Already a reader? Sign inThe Morning Brief, every weekday. Unsubscribe anytime.
Full featuresIn-depth analysis and exclusive reporting.
The buyer’s checklistEvidence, context and the complete story.
One login across the networkAccess every Daily Network publication.
Compliance & risk in the news
- Saturn
Inspired Capital closes $450M fourth fund, lifting AUM near $1.4B
- Saturn
Inspired Capital closes fourth fund at $450 million
- Saturn
Inspired Capital closes $450 million fourth venture fund
- Smarsh
Ezra Group's AI connector directory grows from 69 to 244 in ten weeks
- Saturn
Advised investors ask AI more and verify less, Evergreen.ai study finds
- Saturn
Evergreen.ai study: advised AI users act unchecked at nearly triple unadvised rate