Announcing the first AI harness for securities compliance

GreenboardGo 2.0

The first AI harness built for SEC and FINRA compliance

GreenboardGo 2.0 runs across the whole Greenboard platform, so compliance teams can ask, configure and automate any part of their program from one place, with every step written to a WORM-based, 17a-4 compliant record. It also works where teams do: in Slack, Teams, Claude and ChatGPT.

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Compliance software for financial advisors

RIA compliance software for lean programs that still need to pass a full SEC exam.

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Financial advisors at work

Overview

Greenboard is RIA compliance software for registered investment advisers: compliance solutions for financial advisors on a single platform. We replace a patchwork of point solutions with an AI-powered compliance operating system that supports your firm in reviewing marketing, archiving communications, and monitoring trades, so your team can spend less time on administrative work and more time with clients.

  1. 01

    All-in-one compliance OS

    Retire point solutions and run archiving, marketing, trading, and employee oversight on one RIA compliance platform built for advisors.

  2. 02

    Marketing review

    AI pre-checks content against SEC rules, so disclosures are right the first time and approvals fly through.

  3. 03

    Comprehensive archiving

    Greenboard captures every communication, action, comment, and approval in a WORM-compliant archive you can export easily.

  4. 04

    Zero-click trade monitoring

    Continuous blotter surveillance flags front-running and best-execution gaps for investment advisers, without adding back-office headcount.

  5. 05

    Seamless broker feeds

    Connect brokerage accounts instantly via CFPB 1033 APIs to eliminate manual statement uploads and streamline monitoring.

  6. 06

    Future-proof architecture

    Continuous platform updates help keep you ahead of new SEC rules, without any disruptive migrations.

What we hear from RIA compliance teams

Compliance teams are lean, often relying on a CCO and an analyst to run the entire program. And compliance officers often hold other full-time positions within the firm.

  • Personal trading reports shouldn’t be a quarterly chase

    Transaction and holdings reports pile up every quarter and peak at year-end. Teams want brokerage data to come in automatically so they spend their time reviewing, not collecting.

  • Advice happens over text and social messaging now

    Clients reach advisors by text and LinkedIn message, not just email. Firms need those conversations captured and supervised alongside email, without making advisors change how they work.

  • The Marketing Rule touches everything

    Newsletters, social posts, testimonials, and even email signatures need review. Every approval needs to be easy to pull up when an examiner asks.

  • Reg S-P turned vendor oversight into a deadline

    The amendments require firms to oversee their service providers and notify customers of breaches on a set clock. Teams want a structured review they can finish, not a folder of questionnaires.

In practice

How teams like yours use Greenboard

01

Code of Ethics on autopilot

Connect employee accounts once, and holdings and transactions feed quarterly and annual reports automatically. Employee trading is checked against client trading every day, and pre-clearance requests are checked against your lists before anyone trades.

  • 7,000+ supported brokerages
  • Daily conflict surveillance
  • Pre-clearance with your policy attached
02

Monitor every channel your advisors use

Email, text messages, LinkedIn, WhatsApp, and your website are captured in one archive and screened against your lexicon and rules, so compliance monitoring for RIAs covers every channel and you only review the messages that matter.

03

Marketing reviews in minutes

Advisors get an instant pre-check when they upload, and GreenboardGo flags performance, testimonial, and disclosure issues against the Marketing Rule before the piece reaches you.

04

Vendor reviews you can finish

Go researches each vendor and reads its SOC 2 report, and then you set the risk level and narrative and sign off, with every review kept on the record.

Customer stories

Other firm types

FAQs

Frequently asked questions

What should an RIA look for in compliance software?

RIA compliance software should run the whole program in one place: personal trading and the Code of Ethics, communications archiving, Marketing Rule review, and vendor oversight. Greenboard covers all four on one platform, with every review kept on a WORM-compliant record you can hand to an examiner.

What does investment advisor compliance software do?

Investment advisor compliance software automates the recurring work of an RIA's compliance program. In Greenboard, broker feeds fill quarterly and annual holdings reports, messages are captured and screened against your rules, and marketing is pre-checked against the Marketing Rule before it reaches the CCO.

How do RIAs monitor employee personal trading?

Employees connect their brokerage accounts once, and holdings and transactions arrive automatically. Greenboard checks employee trading against client trading every day and checks pre-clearance requests against your lists before anyone trades.

Can financial advisors' text messages and LinkedIn be archived?

Yes. Email, text messages, LinkedIn, WhatsApp, and your website are captured in one archive and screened against your lexicon and rules, so advisors don't have to change how they talk to clients.

Built for AI-native compliance teams.

See how your program runs on one system. Implementation is measured in weeks, not quarters.