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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 compliance surveillance and archiving system monitoring email, SMS, WhatsApp, TikTok, Instagram, Facebook, Twitter, and other social media communications for RIAs.
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.
Centralized compliance workflow for RIAs integrating attestations, disclosures, approvals, and marketing reviews into one dashboard.
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
Gaus, Inc. company logo
“Epic product... this is like hiring an entire compliance team ”
Bruno k.
CEO, Gaus, Inc.
AI-powered Smart Policy Engine automatically managing RIA compliance policies such as Code of Ethics, Personal Trading, Insider Trading, Advertising and Marketing Review, Social Media Usage, Gifts and Entertainment, and Cybersecurity policies.
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.
RIA audit and reporting dashboard showing compliance records, communication logs, and downloadable audit trail exports for regulators.
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
Join thousands of advisors already growing with Luthor.
Sunset Company LogoPCM Encore company logoRepool company logoGaus, Inc. company logoCrescendo company logo
Compliance built for the modern advisor.
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