Hadrius
AI compliance software for RIAs, broker-dealers and private funds
- RIAs
- Broker-dealers
Compliance & riskCustom quote
Alternatives to Archive Intel
Archive Intel makes communications archiving and supervision software for RIAs, broker-dealers and wealth management firms that must keep records under SEC and FINRA rules. It was founded by fintech entrepreneur Larry Shumbres, is based in Alpharetta, Georgia, and lists $8.8M raised, including a $6.3M Series A in October 2025 led by Gray Line Partners. Read the Archive Intel profile.
Patrina
Records archiving, compliance suite and CRM for broker-dealers and RIAs
- Broker-dealers
- RIAs
Compliance & riskCustom quote
Behavox
Communication and trade surveillance, archiving and compliance controls software
- Banks and trust companies
- Asset managers
Compliance & riskCustom quote
SteelEye
Trade and communications surveillance and record-keeping software for financial firms
- Asset managers
- Banks and trust companies
- Broker-dealers
Compliance & riskCustom quote
Saifr
AI marketing review, communications surveillance and adverse media screening for financial firms
- RIAs
- Broker-dealers
- Asset managers
- Banks and trust companies
SmarshIn the news
Communications capture, archiving and supervision for regulated firms
- RIAs
- Broker-dealers
- Family offices
- Banks and trust companies
Abacus
Managed IT and cybersecurity services for investment and financial firms
- RIAs
- Broker-dealers
- Family offices
- Asset managers
Compliance & riskSubscription
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 & riskCustom quote
MirrorWeb
Communications capture, archiving and AI supervision for SEC- and FINRA-regulated firms
- RIAs
- Broker-dealers