Compliance software for small firms
Compliance software for small RIAs and broker-dealers, where one person often carries the whole compliance program.
1–25 people
A full compliance program. Without a full team.
Compliance for small RIAs and broker-dealers.
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.
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One place for everything
Archiving, employee compliance, marketing reviews, and compliance calendars all live in Greenboard. One platform to run your program, without the cost and hassle of managing separate systems.
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Guided, AI-assisted setup
GreenboardGo uses your firm's policies to help configure your workflows, so you can get your program up and running in days.
- 03
Exam-ready from day one
Every message, approval, and attestation lands on one WORM-based record, so an exam request is a search rather than a scramble.
Compliance for small RIAs: big responsibilities, small team.
Small RIAs and broker-dealers run the same annual compliance review as a large firm, often with one person.
Up and running in days
GreenboardGo uses your firm's policies to help configure your workflows, without a lengthy implementation process.
Get answers when you need them
When a question comes up mid-quarter, they need an answer that day, from a person if needed.
Take statement collection off your plate
Automate brokerage statement collection and employee trade monitoring, without the endless follow-ups and manual reviews.
In practice
How teams like yours use Greenboard
Ask, don’t search
Employees ask Go their policy questions and get answers from your own policies, with sources, so the CCO isn’t the help desk.
Attestations without the chase
Send quarterly and annual attestations, see who hasn’t opened them, and remind everyone outstanding in one step.
Feeds instead of statements
Employees connect their accounts once, and holdings and transactions arrive on their own.
The platform
What small firms run on Greenboard
- Fast, guided setup
- Templates for every policy
- Exam-ready from day one
Archiving and supervision
Email, text, and social captured automatically, with AI review that surfaces only what needs you.
Employee compliance
Trading, gifts, outside activities, and attestations your team completes on their own.
Marketing compliance
Go pre-reviews marketing against the Marketing Rule before it ever reaches your queue.
Compliance calendar
Every recurring obligation scheduled, assigned, and evidenced without a spreadsheet.
In their words
“I am beyond happy with discovering you guys! This platform has made my bumpy transition as our compliance deputy much smoother than I anticipated!”
FAQs
Frequently asked questions
What compliance software does a small RIA need?
One platform that covers archiving, employee compliance, marketing reviews, and a compliance calendar. Greenboard brings them together, so a small RIA or broker-dealer isn't paying for and managing separate systems.
How does a small RIA run its annual compliance review?
From the record it already keeps. In Greenboard, the review's tasks sit on your compliance calendar with an owner and a date, and every message, approval, and attestation lands on one WORM-based record, so the evidence is gathered before the review starts.
How long does it take a small firm to get started?
Days. GreenboardGo uses your firm's policies to help configure your workflows, without a lengthy implementation process.
Built for AI-native compliance teams.
See how your program runs on one system. Implementation is measured in weeks, not quarters.