Broker-Dealers have a difficult job walking a tightrope between FINRA, SEC and other regulatory entities.  

We regularly hear from registered representatives who want to leave their Broker-Dealers because they do not believe the Broker-Dealer is adding value to their RIA business.

We build technology to help Broker-Dealers offer value added technology and services to help your advisors maintain their autonomy, while giving you insight into their compliance calendars, tasks and what they are doing outside the broker-dealer.

  • Our compliance portal allows you to simply provide customized compliance calendars or customized tasks in addition to our recommended State registered and SEC registered calendars.
  • Our compliance portal allows them to simply submit RIA Advertising and Marketing for review and retention.
  • Our compliance portal allows the elimination of duplicate data entry or submissions for your independent RIAs.
  • Our compliance portal gives your compliance team oversight into their independent compliance programs.
  • Our compliance portal will help capture, retain and review Email, Social Media, Website Changes and Text Messages.
  • Our compliance portal will allow you to stop collecting paper statements for Personal Trade Monitoring.
  • Our compliance portal will help you do periodic reviews to meet your FINRA and SEC oversight requirements.

By offering your registered representatives technology that will help them stay organized, reduce time needed for compliance and give them more time to grow their books of business, you will attract and retain more representatives that want to run their own RIA and still maintain a Broker-Dealer relationship.

Let us show you the value of Broker-Dealer Compliance Technology by scheduling a call today.