# Greenboard

> Greenboard is the AI-native system of action for SEC and FINRA compliance. 750+ financial institutions (registered investment advisers, broker-dealers, private funds, hedge funds and compliance service providers) use it for communications archiving and supervision, employee compliance, marketing review, firm compliance and third-party diligence on one platform. GreenboardGo is its compliance AI. Founded in 2023, headquartered in New York.

Book a demo: https://www.greenboard.com/book-demo
Security and trust: https://trust.greenboard.com

## Products

- [GreenboardGo | Compliance AI Agents for SEC & FINRA Firms](https://www.greenboard.com/greenboardgo): GreenboardGo is compliance AI that delivers policy-grounded answers and automation across your compliance program, in Greenboard, Slack and Teams.
- [GreenboardGo Release Notes](https://www.greenboard.com/greenboardgo/release-notes): What’s new in GreenboardGo, Greenboard’s compliance AI harness: every release, newest first, with new features, improvements and fixes.
- [Compliance Products | All-in-One SEC & FINRA Platform](https://www.greenboard.com/products): 88% of customers eliminated the need for multiple tools. Explore archiving, marketing review, employee and firm compliance on one unified platform.
- [Platform](https://www.greenboard.com/products/platform): One unified compliance platform for archiving, supervision, employee compliance, and firm oversight. Purpose-built for SEC and FINRA-registered financial institutions.
- [Archiving and supervision](https://www.greenboard.com/products/communications-archiving-supervision): Communications archiving and supervision for SEC and FINRA firms: email, messaging and social media in one 17a-4 archive, with AI-powered supervision.
- [Employee compliance](https://www.greenboard.com/products/employee-compliance): Employee compliance software for personal trading pre-clearance, code of ethics attestations and outside business activities, with best-in-class brokerage feeds.
- [Trade compliance](https://www.greenboard.com/products/trade-compliance): Trade compliance software to pre-clear personal trades, manage watch lists, and run daily front-running, best-execution and holding-period surveillance.
- [Marketing compliance](https://www.greenboard.com/products/marketing-compliance): Marketing compliance software for SEC and FINRA firms: AI pre-review against the Marketing Rule, approval workflows and an audit trail ready for exams.
- [Firm compliance](https://www.greenboard.com/products/firm-compliance): Firm compliance software with automated regulatory calendars, risk assessments and compliance testing on one centralized platform.
- [Filings](https://www.greenboard.com/products/filings): Keep U4 and registration data current, draft ADV Part 2B brochure supplements from your own template, and prepare recurring filings ahead of each deadline.
- [Third-party diligence](https://www.greenboard.com/products/third-party-compliance): Vendor due diligence software for financial institutions: due diligence tracking, risk scoring and automated third-party oversight in one place.
- [Command center](https://www.greenboard.com/products/command-center): Run many client firms or entities from one login: cross-client action items, activity, documents and conversations, with your program and branding synced to each.
- [Prediction markets](https://www.greenboard.com/products/prediction-markets): Stay ahead of employee prediction market activity and attestations, with trade compliance workflows like the ones you already use for investments and crypto.
- [Workflows and agents](https://www.greenboard.com/products/workflows-agents): Run any compliance process autonomously in Greenboard, with your data already in place, Go Agents doing the repetitive work, and a finished document at the end.

## Solutions

- [Compliance Solutions by Firm Type](https://www.greenboard.com/solutions): Compliance solutions tailored for RIAs, broker-dealers, private funds and hedge funds. 88% of customers eliminated multiple tools.
- [Compliance for Financial Advisors](https://www.greenboard.com/solutions/financial-advisors): RIA compliance software for registered investment advisers: one compliance platform for archiving, marketing review, trade monitoring and oversight.
- [Compliance for Private Funds](https://www.greenboard.com/solutions/private-funds): Private fund compliance software for private fund managers: Marketing Rule review, archiving, restricted lists and exam-ready records on one platform trusted by 750+ firms.
- [Compliance for Hedge Funds](https://www.greenboard.com/solutions/hedge-funds): Hedge fund compliance software for archiving, employee trade monitoring, trade surveillance and compliance records, on one platform trusted by 750+ firms.
- [Compliance for Broker Dealers](https://www.greenboard.com/solutions/broker-dealers): Broker-dealer compliance software: 17a-4 archiving, FINRA 2210 marketing review, supervision and automated broker feeds. 99.14% reduction in eCommunications false positives.
- [Compliance for Fintech Platforms](https://www.greenboard.com/solutions/fintech): Compliance software for growing fintechs: Slack and Teams archiving, marketing review at release speed, employee trading, SSO, and MCP for your own AI agents.
- [Compliance for Regulatory Registration](https://www.greenboard.com/solutions/ria-registration): Compliance software for new RIAs: streamline RIA registration and launch on one platform with pre-configured calendars, policies and workflows, ready in weeks.
- [Compliance for Small firms](https://www.greenboard.com/solutions/small-firms): Run your small RIA or broker-dealer's compliance program from one place. Greenboard brings archiving, employee compliance, marketing reviews, and compliance calendars together, while AI handles the repetitive work that slows your team down.
- [Compliance for Growth firms](https://www.greenboard.com/solutions/growing-businesses): Compliance software for growing RIAs and broker-dealers, where supervision has to keep pace as headcount and channels multiply. Configure your own risk graph, route work to the right reviewers, and keep everything on one record.
- [Compliance for Enterprise](https://www.greenboard.com/solutions/enterprise): Multi-entity firms, complex hierarchies, and heavy recordkeeping obligations, served on WORM-based, 17a-4 compliant infrastructure with SOC 2 Type 2 controls and email, SMS, and chat archiving across every entity.

## Customers

- [Compliance Case Studies | Greenboard Customers](https://www.greenboard.com/case-studies): How RIAs, broker-dealers and funds run archiving, marketing review and firmwide compliance on Greenboard, with results in their own words.
- [Customer Reviews: Compliance Teams on Greenboard](https://www.greenboard.com/in-their-words): Notes from compliance teams at financial firms on why Greenboard is the first lovable compliance software, in their own words.
- [How TIFF, an Endowment-Focused OCIO, Runs Compliance on One Platform](https://www.greenboard.com/case-studies/tiff): How TIFF, an endowment-focused OCIO, replaced two compliance vendors and automated third-party manager diligence on Greenboard.
- [How Root Financial Scales Compliance for High-Volume Marketing Content](https://www.greenboard.com/case-studies/root-financial): Learn how Root Financial saves 24 hours a week on marketing compliance review and scales oversight across a fast-growing RIA with Greenboard.

## Company

- [Greenboard: System of Action for Securities Compliance](https://www.greenboard.com/): Greenboard is the AI-native system of action for SEC and FINRA compliance: archiving, supervision, employee, marketing and firm compliance on one platform.
- [About Greenboard | Our Mission to Modernize Compliance](https://www.greenboard.com/about): Greenboard was founded in 2023 to modernize compliance for financial institutions. Learn about our mission to make compliance radically human.
- [Book a Demo of Greenboard Compliance Software](https://www.greenboard.com/book-demo): See archiving, supervision, employee, marketing and firm compliance working as one system in a 15-minute walkthrough. Trusted by 750+ financial firms.
- [Compliance Webinars and Events](https://www.greenboard.com/events): Live webinars and events for SEC and FINRA compliance teams, with replays on demand: AI, cybersecurity, exams, marketing review and more.
- [Careers at Greenboard | Join the Future of Compliance](https://www.greenboard.com/careers): Join Greenboard to modernize compliance. We’re building the new system of action for SEC and FINRA compliance. See open roles.
- [Our Fiduciary Commitment to Responsible Compliance AI](https://www.greenboard.com/fiduciary-commitment): Greenboard holds itself to a standard of fiduciary care toward the firms and people it serves, most of all in how it builds GreenboardGo, its AI harness.
- [Support | Greenboard Compliance Platform](https://www.greenboard.com/support): Get help with Greenboard’s compliance platform: support resources, documentation and a team that answers.

## Partners

- [Become a Partner | Greenboard Compliance Platform](https://www.greenboard.com/become-a-partner): Join Greenboard’s partner ecosystem and bring modern SEC and FINRA compliance to your clients. 750+ firms already trust the platform.
- [Greenboard Partners | Compliance Technology Partnerships](https://www.greenboard.com/partnerships): Partner with the compliance platform trusted by 750+ financial firms, and deliver modern SEC and FINRA compliance.
- [Adam Langley Compliance Consulting partners with Greenboard](https://www.greenboard.com/partners/adam-langley-compliance-consulting): Expert compliance and operations solutions for investment advisers and registered funds, delivered personally by an experienced CCO, COO, and fund officer.
- [ComplianceAdvisor partners with Greenboard](https://www.greenboard.com/partners/complianceadvisor): ComplianceAdvisor delivers tailored compliance solutions for SEC- and state-registered RIAs, from Form ADV filings to outsourced CCO and mock exams.
- [Betterment Advisor Solutions partners with Greenboard](https://www.greenboard.com/partners/betterment): Betterment Advisor Solutions is a tech-enabled custodian for independent RIAs, combining custody and essential practice management software in one platform.
- [True West Consulting partners with Greenboard](https://www.greenboard.com/partners/true-west-consulting): True West partners with independent RIAs to manage compliance, operations, and risk, empowering advisers to focus on clients while building stronger, more resilient firms.
- [Integrated Compliance Advisors (ICA) partners with Greenboard](https://www.greenboard.com/partners/integrated-compliance-advisors-ica): ICA puts compliance first, delivering practical, exam-ready, scalable solutions tailored to your firm, with cyber and creative offerings to enhance industry presence.
- [Charles Schwab partners with Greenboard](https://www.greenboard.com/partners/charles-schwab): Greenboard partners with Schwab to deliver secure brokerage and custodial data that powers automated trade oversight and personal trading compliance.
- [Adroit Compliance, LLC™ partners with Greenboard](https://www.greenboard.com/partners/adroit-compliance): Adroit Compliance delivers practical, right-sized compliance solutions for small and mid-sized registered investment advisers.
- [Providence Compliance partners with Greenboard](https://www.greenboard.com/partners/providence-compliance): Providence Compliance helps RIAs build strong, practical, and affordable compliance programs through tailored, expert guidance at every stage of the regulatory journey.
- [State Harbor Advisors partners with Greenboard](https://www.greenboard.com/partners/state-harbor-advisors): State Harbor delivers high-touch compliance support to help investment advisers, including crypto firms, expand and thrive in a complex regulatory environment.
- [Asgard Regulatory Group partners with Greenboard](https://www.greenboard.com/partners/asgard-regulatory-group): Asgard delivers practical, strategic compliance support for financial institutions, combining regulatory expertise with tailored solutions to help firms navigate complex rules.
- [Brightstar Law Group partners with Greenboard](https://www.greenboard.com/partners/brightstar-law-group): Brightstar Law Group protects hundreds of RIAs with compliance, business, and M&A advice, delivering peace of mind so firms can focus on clients and growth.
- [Salus GRC partners with Greenboard](https://www.greenboard.com/partners/salus-grc): Salus GRC combines white-glove compliance leadership with AI-native technology to reduce risk, streamline operations, and scale with firms.
- [Adviser Compliance Consulting (ACC) partners with Greenboard](https://www.greenboard.com/partners/adviser-compliance-consulting-acc): ACC delivers proactive, tech-enabled compliance solutions for investment advisers and funds, combining deep regulatory expertise with AI-powered automation.
- [V17 Advisors partners with Greenboard](https://www.greenboard.com/partners/v17-advisors): V17 Advisors delivers tailored compliance and CFO solutions for alternative investment funds, providing strategic guidance and expert support to help firms stay agile.
- [Dziura Compliance Consulting partners with Greenboard](https://www.greenboard.com/partners/dziura-compliance-consulting): Proven compliance experts delivering practical, tailored solutions by strengthening governance, reducing risk, and building resilient, future-ready programs.
- [Kroll partners with Greenboard](https://www.greenboard.com/partners/kroll): Kroll and Greenboard bring regulatory advisory and a unified compliance system to financial institutions, providing a clear, structured way to manage workflows, apply guidance, and maintain an audit-ready record.
- [FirmScribe partners with Greenboard](https://www.greenboard.com/partners/firmscribe): FirmScribe securely captures iMessage and SMS so Greenboard can archive, review, and supervise mobile communications in a unified, compliant workflow.
- [AWS partners with Greenboard](https://www.greenboard.com/partners/aws): Greenboard runs on AWS, using its secure cloud platform so teams get fast, reliable, and scalable performance as their business and regulatory demands grow.
- [Microsoft partners with Greenboard](https://www.greenboard.com/partners/microsoft): Greenboard uses Microsoft for secure AI connectivity and to render Word and PowerPoint files directly in the platform, giving firms seamless document workflows.
- [RBC partners with Greenboard](https://www.greenboard.com/partners/rbc): RBC Clearing and Custody delivers secure brokerage and custodial data to Greenboard, powering automated trade oversight and personal trading compliance.
- [Morningstar partners with Greenboard](https://www.greenboard.com/partners/morningstar): Morningstar powers Greenboard’s custodial and personal account data feeds, enabling automated trade oversight and seamless personal trading supervision.

## Compare

- [Greenboard Alternatives and Comparisons | Compliance Software](https://www.greenboard.com/compare): Compare Greenboard with Smarsh, Global Relay, Hadrius, COMPLY, RIA in a Box and other compliance software: archiving, employee, marketing and firm compliance on one platform.
- [Greenboard vs. ACA ComplianceAlpha](https://www.greenboard.com/compare/aca-compliancealpha): Compare Greenboard and ACA ComplianceAlpha: compliance software from a product company that works with the consultant you choose.
- [Greenboard vs. COMPLY (ComplySci)](https://www.greenboard.com/compare/comply): Compare Greenboard and COMPLY (formerly ComplySci): archiving, marketing review, trade testing, employee and firm compliance on one AI-native platform.
- [Greenboard vs. ComplySci](https://www.greenboard.com/compare/complysci): Compare Greenboard and ComplySci (now COMPLY): brokerage feeds, code of ethics automation, archiving and marketing review on one platform.
- [Greenboard vs. Global Relay](https://www.greenboard.com/compare/global-relay): Compare Greenboard and Global Relay: email, text, social and chat archiving and supervision inside one compliance platform, at a flat per-user price.
- [Greenboard vs. Hadrius](https://www.greenboard.com/compare/hadrius): Compare Greenboard and Hadrius: one system for archiving, supervision, marketing review, employee and firm compliance, with AI you can show an examiner.
- [Greenboard vs. MirrorWeb](https://www.greenboard.com/compare/mirrorweb): Compare Greenboard and MirrorWeb: website and communications archiving built into one compliance platform, with flat per-user pricing.
- [Greenboard vs. MyComplianceOffice](https://www.greenboard.com/compare/mycomplianceoffice): Compare Greenboard and MyComplianceOffice (MCO): policy automation, compliance calendar, brokerage feeds and archiving your team configures itself.
- [Greenboard vs. Orion Compliance](https://www.greenboard.com/compare/orion-compliance): Compare Greenboard and Orion Compliance: policy automation, AI marketing review and communications archiving from a compliance-only company.
- [Greenboard vs. RIA in a Box](https://www.greenboard.com/compare/ria-in-a-box): Compare Greenboard and RIA in a Box: an all-in-one RIA compliance program with automated brokerage feeds, AI marketing review and archiving.
- [Greenboard vs. Red Oak](https://www.greenboard.com/compare/red-oak): Compare Greenboard and Red Oak: AI-assisted advertising review against SEC and FINRA rules, with the rest of compliance on the same platform.
- [Greenboard vs. Saifr](https://www.greenboard.com/compare/saifr): Compare Greenboard and Saifr: AI marketing review that averages seven seconds, inside one platform for archiving, employee and firm compliance.
- [Greenboard vs. Skematic](https://www.greenboard.com/compare/skematic): Compare Greenboard and Skematic: AI compliance calendar, firm and employee compliance, plus archiving and marketing review on one platform.
- [Greenboard vs. Smarsh](https://www.greenboard.com/compare/smarsh): Compare Greenboard and Smarsh: capture and supervise every channel inside one compliance platform, with AI flagging and flat per-user pricing.
- [Greenboard vs. SmartRIA](https://www.greenboard.com/compare/smartria): Compare Greenboard and SmartRIA: policy automation, brokerage feeds, code of ethics and communications archiving in one compliance platform.
- [Greenboard vs. StarCompliance](https://www.greenboard.com/compare/star-compliance): Compare Greenboard and StarCompliance: brokerage feeds, pre-clearance and code of ethics workflows, plus archiving and marketing review in one system.

## Blog

- [Greenboard Blog | Compliance Insights & Regulatory Updates](https://www.greenboard.com/blog): Insights on SEC and FINRA compliance, regulatory technology, and best practices for financial institutions from the Greenboard team.
- [Greenboard Launches GreenboardGo2.0, the First AI Harness Built for SEC & FINRA Compliance](https://www.greenboard.com/blog/greenboard-ai-harness-launch): Greenboard launches GreenboardGo2.0, the first AI harness built for SEC and FINRA compliance teams, working in Slack, Teams, Claude and ChatGPT.
- [Can AI Run Your Compliance? Dave Feldman on the Advicers Founder Feature](https://www.greenboard.com/blog/advicers-founder-feature-dave-feldman): Greenboard CEO Dave Feldman joins Joe Moss on the first Advicers Founder Feature to explain AI harnesses and demo GreenboardGo2.0 live.
- [Modern Compliance, Modern Input: Greenboard's Customer Advisory Board](https://www.greenboard.com/blog/greenboards-customer-advisory-board): Twelve compliance leaders from Betterment, Kroll, Adviser Compliance Consulting, Advisors Excel, and other industry leading firms are joining Greenboard’s Customer Advisory Board to shape what modern compliance looks like.
- [Greenboard Raises $20M to Make Everyone a Compliance Champion](https://www.greenboard.com/blog/greenboard-go-launch): Greenboard announced $20M in funding and launched Greenboard Go, an AI-native compliance system built to help firms operationalize policies in real time.
- [AI in Securities Compliance: The Architecture Behind the Marketing Pitch](https://www.greenboard.com/blog/ai-securities-compliance-architecture): Every securities compliance vendor says they have AI. Here's how to tell what they actually built — Modern Systems, Bolt-on AI, or DIY via MCP.
- [The System of Action: A New Operating Model for Securities Compliance](https://www.greenboard.com/blog/system-of-action): Fragmented compliance systems are creating friction across financial firms. This blog explores why AI-native systems of action are emerging as a new operating model for securities compliance.
- [Why Compliance Becomes a Bottleneck in Financial Firms](https://www.greenboard.com/blog/compliance-bottleneck-financial-firms): Most compliance programs slow teams down because knowledge is centralized. Here's why, and how firms are starting to democratize compliance and make it accessible.
- [How Greenboard and Kroll Help Investment Advisors Unify Compliance](https://www.greenboard.com/blog/greenboard-kroll-partnership): Learn how Greenboard and Kroll help investment advisors unify compliance workflows, regulatory guidance, and documentation in one auditable system.
- [Greenboard Earns the Highest Rating in the 2026 T3 Software Survey](https://www.greenboard.com/blog/greenboard-t3-survey-rating): The 2026 T3 Software Survey shows Greenboard as the highest rated compliance platform in advisor technology.
- [Why Cybersecurity Has Become a Core Compliance Risk](https://www.greenboard.com/blog/cybersecurity-as-compliance-risk): Cybersecurity is now a core compliance risk for SEC and FINRA-regulated firms. Learn how fragmented compliance systems increase exposure—and how integrated compliance platforms reduce risk.
- [The Trust Podcast Episode 3: Ed Schembor](https://www.greenboard.com/blog/the-trust-podcast-episode-3-ed-schembor): In this episode of The Trust Podcast, Greenboard Cofounders Dave Feldman (CEO) and Ed Schembor (CTO) go deep on why they built Greenboard and how they're rethinking the future of financial compliance software.
- [The Trust Podcast Episode 1: Michael Kitces](https://www.greenboard.com/blog/the-trust-podcast-episode-1-michael-kitces): Throughout our journey founding Greenboard my co-founder Ed and I have mostly found ourselves neck deep solving compliance problems for financial institutions by using technology in new ways.
- [The Nature of AI Use Cases in Securities Compliance](https://www.greenboard.com/blog/the-nature-of-ai-use-cases-in-securities-compliance): These days, I wear many hats. I anticipated this when I decided to start a startup, but I've taken on even more roles than I expected.
- [The Trust Podcast Episode 2: Bob Veres](https://www.greenboard.com/blog/the-trust-podcast-episode-2-bob-veres): I recently had the pleasure of sitting down with Bob Veres, a well known writer in the financial planning profession.
- [Decoding the AI Revolution in Financial Compliance: A Deep Dive into LLMs](https://www.greenboard.com/blog/decoding-the-ai-revolution-in-financial-compliance-a-deep-dive-into-llms): In 1993 Jensen Huang co-founded Nvidia with Chris Malachowsky and Curtis Priem to build computer chips for video games.
- [Announcing Our $4.5M Seed Fundraise](https://www.greenboard.com/blog/announcing-our-4-5m-seed-fundraise): NEW YORK, May 8, 2024 /PRNewswire/ -- Greenboard, a new compliance and operations software company for financial services, announced today that the company has completed a $4.5 million Series Seed funding round led by Base 10 Partners, with participation from Y Combinator, General Catalyst, Wayfinder Ventures, Liquid2 Ventures, Twenty Two Ventures, Rogue Capital, Transpose Platform, and others.

## Legal

- [Privacy Policy](https://www.greenboard.com/privacy-policy): Review Greenboard’s privacy policy covering data protection and security practices for our SEC and FINRA compliance platform.
- [Terms of Service](https://www.greenboard.com/terms-of-service): Review Greenboard’s terms of service governing use of our SEC and FINRA compliance platform.