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RIA Compliance
All-in-once compliance platform built for today’s advisory firms.
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solutions
The Modern Compliance Platform Built for RIAs
Transform how your firm manages compliance with a unified platform for automation, oversight, and audit readiness.
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Automated Surveillance
Unified Compliance Workflows
Smart Policy Engine
Audit and Reporting
Automated Surveillance
Capture and archive communications across email, social media, and messaging channels.
Maintain a searchable, WORM-compliant record of every interaction to stay audit ready at all times.
Unified Compliance Workflows
Centralize your compliance workflows and Code of Ethics program in one place.
Automated tasks, attestations, and reminders simplify employee submissions and ensure nothing falls through the cracks.
7x
Amount of assets
reviewed per week
$29,500+
Avg annual compliance
savings per year
15+
Avg hours a
week reclaimed
“Epic product... this is like hiring an entire compliance team ”
Bruno k.
CEO, Gaus, Inc.
Smart Policy Engine
Access to a comprehensive policy library tailored for RIAs.
AI guides your team through customization by asking the right questions and suggesting updates as your firm or regulations change.
Audit and Reporting
Tracks every record, action, and approval in a complete audit trail, exactly how regulators like it.
Export full reports in CSV or PDF so you’re always exam ready.
"Luthor turned compliance from stress to seamless — it helps us move fast without second-guessing risk."
Sam R.
CCO PCM Encore
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