Greenboard
AI-based compliance platform for RIAs, broker-dealers and funds: archiving, marketing review, trade and staff compliance
- RIAs
- Broker-dealers
- Asset managers
Compliance & riskCustom quote
Compliance & riskRIA compliance platformsArchiving and surveillanceTrade and code-of-ethics monitoring
RIA Compliance Technology
Modular compliance software for RIAs and compliance consultants: email archiving, trade monitoring and task management
AZ, USFounded 2017riacomptech.comNot yet confirmed by the company
What it does
RIA Compliance Technology makes compliance management software for registered investment advisers, in-house compliance officers and outside compliance consultants who run programs for several firms. It positions itself as a software vendor only, not a consultant or outsourced CCO.
The platform has three modules that can be bought separately or together: email and off-channel communication archiving, trade monitoring, and compliance task management. Policy acknowledgments, ADV updates, outside business activity requests and communication records are submitted and logged in one place, organized by date, adviser and category with a full audit trail for exams. Consultants get single sign-on access to manage all client firms, and the vendor includes unlimited support and training.
The company was founded in 2017 by Blake Bjordahl, is headquartered in Arizona and reports more than 400 client firms. Prices are not published.
Best for
- Serves
- RIAs, Broker-dealers
Features
- Email and off-channel archiving
- Trade monitoring
- Compliance task and calendar management
- Policy acknowledgments and OBA requests
- Multi-client consultant access
- Exam-ready audit trail
Pricing and deployment
- Pricing model
- Custom quote
- Deployment
- Cloud
Coverage from The Daily Network
Full coverage recordNo stories about RIA Compliance Technology yet.
Follow RIA Compliance Technology to get our reporting on it as it is published.
Other Compliance & risk vendors
All alternatives to RIA Compliance Technology
Hadrius
AI compliance software for RIAs, broker-dealers and private funds
- RIAs
- Broker-dealers
Compliance & riskCustom quote
Patrina
Records archiving, compliance suite and CRM for broker-dealers and RIAs
- Broker-dealers
- RIAs
Compliance & riskCustom quote
Advisor Armor
Cybersecurity compliance platform for RIAs and wealth firms: risk assessments, endpoint monitoring, exam documentation.
- RIAs
- Broker-dealers
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