SmartOffice for Emerging Broker-Dealers

SmartOffice provides small- to mid-sized broker-dealers with advanced, affordable, fully integrated compliance management. With features like automated tracking of compliance evidence, our solution helps home offices lower the costs associated with FINRA audits and other regulatory requirements.
Compliance Doesn’t Have to Limit Your Growth

Today, emerging broker-dealers walk a tightrope. Compliance officers are trying to supervise a growing stable of reps as thoroughly and efficiently as possible. Reps want to spend less time on compliance processes and more time on sales and client service. SmartOffice helps you expand your field presence without sacrificing your ability to maintain a comprehensive, organized, effective compliance program.

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.