Smartria, a cloud-based compliance management platform for registered investment advisors (RIAs), broker-dealers, and compliance consultants, has introduced SmartArchive, an AI-powered digital communications archiving and surveillance solution. The new capability enables firms to capture, retain, monitor, and search business communications across multiple channels, including emails, text messages, social media, and websites, through a single secure platform. Designed to simplify compliance with SEC and FINRA recordkeeping requirements, SmartArchive helps firms remain audit-ready while reducing the complexity of managing multiple compliance tools.
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The launch expands Smartria’s AI-powered compliance suite, joining SmartReview, an AI-assisted marketing review tool, and SmartAssist, an AI chatbot that explains SEC and FINRA regulations in plain language. Built using Smartria’s in-house AI models and licensed technology from Presults, the platform emphasizes security, accuracy, and human oversight.”Our vision has always been to simplify compliance for advisory firms,” said Patrick Hunt, chief executive officer of Smartria. “The success of our AI-powered offerings made it clear that clients value an integrated approach, and adding archiving is a natural evolution of that strategy. The firms that earn lasting trust in this industry won’t simply be the fastest to add new features; they’ll be the ones that apply AI thoughtfully, staying human-centric while still being efficient, and protecting what our clients actually depend on: accuracy, security and compliance. SmartReview’s AI-powered-review capability already works this way, helping employees catch potential issues early while leaving the decision to approve with a person.”
