Hadrius
AI compliance software for RIAs, broker-dealers and private funds
- RIAs
- Broker-dealers
Compliance & riskCustom quote
Alternatives to Patrina
Patrina sells compliance software and records archiving to broker-dealers and registered investment advisers, from single-office firms to large brokerages. It has been in business since 1993 and also serves firms that fall under CFTC and NFA rules. Read the Patrina profile.
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
Archive Intel
Communications archiving and supervision for SEC and FINRA regulated firms
- RIAs
- Broker-dealers
Compliance & riskPer seat
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