Smarsh

Smarsh makes software that captures, archives and supervises electronic communications for regulated organizations. In wealth management it sells to registered investment advisers, broker-dealers, wealth management firms, independent adviser networks and family offices, and it also serves banks, investment firms, government agencies and energy companies. The company was founded in 2001 and is based in Portland, Oregon. It says it has about 1,000 staff and more than 6,500 customers.

The platform captures email, instant messaging, collaboration tools, social media, mobile text, voice and web content in original format, and the company says it supports more than 80 channels. Captured messages go into the Smarsh Archive, which can run in the cloud or on premises, or to a firm's own archive or data lake. Supervision tools apply review policies with multi-tier queues, escalation and reporting, and AI models flag conduct risks and rank items for review. A discovery module handles collection, preservation and export for litigation and exams, and a cyber compliance dashboard tracks the security posture of vendors.

Smarsh positions the product for SEC, FINRA, FCA and MiFID II recordkeeping and supervision rules. It also offers compliance services, data migration and consolidation, and role-based training.