Broker Dealer Compliance Technology

We have a separate platform specifically for Broker Dealer compliance challenges. We build technology to help Broker-Dealers offer value added technology and services to help your advisors maintain their autonomy, while giving your insight into their compliance calendars, tasks and what they are doing outside the broker-dealer.

Compliance Calendar

Compliance Portal

Email Archive

Trade Monitoring

Website Archive

SMS Text Archive


One secure Platform
Simplified procedures
Streamlined advisor approvals
Automated workflows
Never miss a filing date
Improved audit process
Saves time
Reduce firm risk

By offering your registered representatives the technology that will help them stay organized, reduce the 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.
Schedule a call today, and let us show you the value of Broker-Dealer Compliance Technology.