Hadrius
AI compliance software for RIAs, broker-dealers and private funds
- RIAs
- Broker-dealers
Compliance & riskCustom quote
Compliance & riskRIA compliance platformsArchiving and surveillanceMarketing reviewTrade and code-of-ethics monitoring
Greenboard
AI-based compliance platform for RIAs, broker-dealers and funds: archiving, marketing review, trade and staff compliance
New York, NY, USFounded 2023Venture-backedgreenboard.comNot yet confirmed by the company
What it does
Greenboard is a compliance platform for regulated financial firms, including RIAs, broker-dealers, private funds, hedge funds and the consultants that serve them. It aims to replace several point products with one system and one books-and-records archive.
Modules cover communications archiving and supervision, marketing review with AI pre-checks against SEC rules, employee compliance (gifts, outside business activities, attestations), personal trade pre-clearance and surveillance using brokerage feeds via CFPB 1033 APIs, firm risk and control calendars, vendor diligence and recurring filings such as U4 and ADV Part 2B. Its GreenboardGo assistant answers policy questions and prepares work for human approval, including inside Slack and Teams. Records are kept in a WORM archive designed for Rule 17a-4.
Greenboard was founded in 2023 by Dave Feldman and Ed Schembor, is headquartered in New York, and lists Y Combinator, Base10 Partners and General Catalyst among its investors.
Best for
- Serves
- RIAs, Broker-dealers, Asset managers
Features
- Communications archiving and supervision
- AI marketing review
- Personal trade pre-clearance and surveillance
- Gifts, OBA and attestation tracking
- Vendor due diligence
- U4 and ADV Part 2B filings
- AI compliance assistant in Slack and Teams
Pricing and deployment
- Pricing model
- Custom quote
- Deployment
- Cloud
Integrations
- Microsoft Teams
- Slack
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