Home / Jobs / Compliance & marketing review
9 tools, compared only on facts from each vendor's own pages. Tools built for advisors come first, then tools with public pricing, then most integrations. Payment never changes the order.
| Tool | Public pricing | Integrations | Security / compliance claims | Visit |
|---|---|---|---|---|
| Essential $5,995/yr (500 accounts). Premium $16,995/yr (1,500 accounts). Platinum $39,995/yr. ↗ stratifi.com/pricing | Redtail, Salesforce, Wealthbox, MoneyGuide, Envestnet, Fidelity, Pershing, Altruist, Schwab ↗ stratifi.com/integrations | None found | Visit | |
| No public pricing found on the vendor pages we checked (demo/quote). ↗ docupace.com | Redtail, Salesforce, Wealthbox, Practifi, Pershing, PreciseFP, Pulse360, OneDrive, SEI ↗ docupace.com/integrations | None found | Visit | |
| No public pricing found on the vendor pages we checked (demo/quote). ↗ redoak.com | FINRA AREF filing, Submission API ↗ redoak.com/integrations | None found | Visit | |
| No public pricing found on the vendor pages we checked (demo/quote). ↗ hadrius.com | Unverified | SOC 2 Type II; Zero-retention AI; AES-256 encryption; Penetration testing ↗ hadrius.com/security | Visit | |
| No public pricing found on the vendor pages we checked (demo/quote). ↗ saifr.ai | Unverified | SaifrScreen (its screening product) is SOC 2 Type 2 certified. Not confirmed for SaifrReview. ↗ saifr.ai/saifrscreen-trust-screening | Visit | |
| No public pricing found on the vendor pages we checked (demo/quote). ↗ luthor.ai | Unverified | Mentions AES-256 encryption, zero data retention and PII redaction on homepage ↗ luthor.ai | Visit | |
| No public pricing found on the vendor pages we checked (demo/quote). ↗ smarsh.com | Unverified | Mentions SEC 17a-4 and FINRA on platform page; ISO 27001 and SOC 2 Type II-certified controls (cyber-compliance offering) ↗ smarsh.com/platform | Visit | |
| No public pricing found on the vendor pages we checked (demo/quote). ↗ globalrelay.com | Unverified | SOC 2 Type II, ISO 27001, SEC 17a-4, GDPR and HIPAA mentioned on homepage ↗ globalrelay.com | Visit | |
| No public pricing found on the vendor pages we checked (demo/quote). ↗ thetalake.com | Unverified | SOC 2 Type 2-audited; ISO 27001; SEC 17a-4 WORM-compliant archive ↗ thetalake.com/products/security | Visit |
Risk analysis and proposals with AI statement scanning and automated compliance monitoring (ComplianceIQ).
Operations platform: document management, new account opening, advisor transitions, ComplianceEdge and Compliance TRACKR disclosure delivery.
Compliance software for RIAs and broker-dealers: advertising review (including LLM-based 'AI Review'), disclosure management and FINRA registration management.
AI compliance platform: marketing review, e-comms surveillance, transaction monitoring, firm oversight, filings and CE, for SEC- and FINRA-regulated firms.
AI agents for marketing compliance review, adverse-media screening and electronic communications surveillance, with versions for wealth, insurance/annuities and banking.
Enterprise marketing compliance platform that checks content against FINRA 2210, FTC, UDAAP and internal policies before it's published.
Archiving, supervision and AI-assisted surveillance for electronic communications across 80+ channels.
Compliant archiving, messaging, supervision and eDiscovery, with 'Global Relay AI' for monitoring communications (audio and text in 50+ languages).
Compliance and security for unified communications (voice, mobile messaging, video), with ML classifiers for SEC/FINRA risks and a real-time compliance advisor.
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