For Registered Investment Advisers (RIAs), the stakes around communication archiving have never been higher. In recent years, regulators like the SEC have handed out multi-million-dollar fines for noncompliance with email and text message recordkeeping requirements—catching even the most reputable firms off guard.

If you are a Chief Compliance Officer (CCO), RIA founder, or compliance consultant, you already know that “just any” archiving tool is not enough. You need a system that is:

• Built specifically for RIAs
  
  
• Straightforward to manage
  
  
• Designed to help you meet SEC and FINRA obligations
  
  
• Reliable and scalable as your firm grows
  
  

That is where RIA Compliance Technology comes in.

 

Why Email and SMS Archiving Is Critical for RIAs

Under SEC Rule 204-2 and FINRA Rules 4511 and 2210, RIAs are required to retain electronic communications—including emails and text messages between advisors and clients—for designated periods, often up to seven years. For the benefit of clients, advisors, firms, and regulators, these records must be:

• Easily retrievable
  
• Tamper-proof
  
• Supervised and reviewed regularly
  
  

Traditional email providers and third-party texting apps do not meet these standards on their own, and many archiving solutions are generic, expensive, and not built for the investment advisory space.

 

What Makes RIA Compliance Technology’s Archiving Solutions Different

RIA Compliance Technology’s platform is designed exclusively for RIAs and compliance officers. We focus on the unique regulatory needs and workflows of investment advisory firms, offering dedicated platforms for both email and text message archiving that stand out from the rest.

 

RIA-Specific Architecture

Many legacy vendors offer bundled packages across various financial verticals, which means RIAs end up paying for tools they do not need—or worse, using clunky systems that do not quite fit the layout of their firm.

Our tools are tailored to the regulatory language, supervision requirements, and communication workflows specific to RIAs. That means less guesswork and more confidence in your compliance process.

 

Simplicity and Speed

We believe compliance should be simple, structured, and organized. Our compliance focused email and text message archiving platform enables:

• Automated archiving of emails and texts
  
• Role-based access and delegation for compliance teams
  
• Advanced search and filtering tools for fast retrieval
  
• Quick set-up so your platform is up and running within a week
  
  

We make it easy to onboard your team, maintain audit-ready records, and respond quickly to regulator requests or internal reviews.

 

Affordable, Built-For-You, Design

Unlike bundled platforms that require buying an entire suite to get what you actually need, RIA Compliance Technology is built to scale. You can start with just email archiving or SMS recordkeeping, and add features as your needs grow.

No unnecessary bloat. No locked-in contracts. Just the tools you need, when you need them.

 

RIA Focused Archiving Solutions We Offer

 

Email Archiving for RIAs

• SEC- and FINRA-compliant recordkeeping
  
  
• Tamper-evident storage
  
  
• Daily supervision workflows
  
  
• Retention policy configuration
  
  
• Role-based permissions and alerts
  
  

Text Message Archiving for RIAs

• Automated capture of messages from firm-issued and authorized personal devices
  
  
• Seamless archiving of SMS and MMS across major carriers including WhatsApp
  
  
• Keyword flagging and policy-based supervision
  
  
• Mobile-native experience for staff, without disrupting workflows
  
  

 

Compare Us to Traditional Vendors

Many large players in this space are built on outdated infrastructure, use complicated UIs, and force RIA firms into expensive contracts for services they may not fully utilize.

Check out why RIA Compliance Technology is different from your traditional vendors:

Why CCOs and RIAs Are Switching to RIA Compliance Technology

Each week, we talk to new CCOs who are frustrated using legacy archiving systems. When they discover how quickly their compliance workflows can be streamlined with RIA Compliance Technology, they realize they need a new solution– our solution. Whether you are just starting out or scaling rapidly, our goal is to make compliance feel like a strength—not a burden.

The best part? You do not need a tech background to navigate our tools. We walk you through onboarding, handle integration, and offer continuous training and support as your needs evolve.

Ready to Simplify Your Email and Text Message Archiving?

If you are in the mood to reduce your compliance risk, eliminate manual tasks, and meet SEC recordkeeping rules with ease, RIA Compliance Technology offers the most practical, purpose-built email and text message archiving platform for RIAs on the market.

Book a quick demo with our team of compliance experts to see how RIA Compliance Technology can support your compliance workflow.