SmartOffice for Emerging Broker-Dealers

SmartOffice is a total solution for small- to mid-sized broker-dealers. Our scalable solution provides an affordable, fully integrated compliance management system for your home office while delivering the flexible advisory platform that your reps need to succeed.
Compliance Doesn’t Have to Be a Burden

In today’s complex regulatory environment, broker-dealers are constantly walking a tightrope. Compliance officers face the challenge of supervising their reps as thoroughly and efficiently as possible. Reps want to automate their role in the compliance process so that they can focus on sales and client service. SmartOffice is an all-in-one solution that addresses these needs.

SmartOffice Delivers Everything a Broker-Dealer Needs

Superior Auditing

Systematically audit all statements and reports sent to clients. Easily gather records for FINRA reviews and other regulatory needs.

Review Workflows

Carry out advisor compliance reviews methodically by tracking tasks and overall progress. Take advantage of tools that efficiently compile relevant documentation.

Marketing Content Approval

Manage compliance risks associated with marketing campaigns. Use review workflows to oversee marketing content and speed the approval process.


Automatic Archiving

Automatic archiving of important data produced by reps—communications, notes, meetings/appointments, proposals and more—makes compliance easy for reps and compliance officers alike.

Rep Choice

Give your reps the flexibility to use the tools they’re comfortable with. SmartOffice handles data collection for future reviews and audits in the background.

Excellent Integration

Easily connect SmartOffice to third-party internal ticketing systems, transaction compliance systems (e.g., Docupace), compliance-focused marketing content systems, and investment data feeds.


A record of all advisor interactions with clients—everything from calls and text messages to correspondence and shared documents.

Exchange Sync/E-mail Posting

An integration with Microsoft Exchange/Outlook that stores and syncs advisors' contacts, calendars, and emails in a centralized database—no matter what devices your advisors use.

Compliance Wizard

A step-by-step guide that gathers and exports the documentation you need for compliance reviews and audits.

Dynamic Reports

A fully customizable reporting system that gives you real-time insights into advisor activities, tasks you need to complete, and other aspects of your business that you need to stay on top of.