For SEC and state-registered RIAs
ComplyVault turns client meetings, emails and supported messages into source-linked records. Advisers get a cleaner working day. Your CCO gets evidence they can sign off and an examiner can inspect.
Tamper-evident records · Source-linked evidence · CCO sign-off built in
Explore retiring at 62 rather than 65.
Model the earlier retirement date before changing the plan.
Send a comparison of the two fee options.
“Robert: I would like to understand whether retiring at 62 is realistic. I am not making that decision today.”
Connected to your workflow
A record with substance
Move from a drafted item to its transcript evidence.
Keep an integrity reference alongside the record.
Preserve the decisions and changes behind sign-off.
One platform, shared context
The adviser moves the client relationship forward. The CCO can see the work, inspect the evidence and record the review.
For advisers
A focused brief before the conversation.
Capture the conversation with consent.
Review the draft note and next steps.
00:14:3200:16:0800:28:41For CCOs
Prioritise records and open their evidence.
Record the review decision and its context.
Bring documentation and history together.
01 / The evidence in practice
Read the note alongside its source. Follow a citation to the transcript passage, inspect the context and correct the draft before it becomes part of the record.
Explore a sample pack02 / The evidence in practice
Bring the conversations that need attention into view. Inspect the evidence, record the supervisory outcome and keep unresolved questions visible.
Explore a sample pack03 / The evidence in practice
Define the scope, inspect candidate evidence and review coverage before approving the selection. Missing sources remain visible, with the record of how they were handled.
Explore a sample packStart with your working day
Built for regulated firms
The source, the changes and the review decision belong together. Give your oversight team a record it can examine.
Request security documentationSHA-256 hashed evidence records keep integrity references connected to the material.
Unindexed sources are refused and logged. Gaps stay visible in the review.
CCO sign-off records the review decision before documentation is finalized.
An append-only audit trail preserves the changes behind the record.
A few useful answers
Review recordings, inspect transcript-linked notes, record CCO sign-off and export documentation packs. Email and meeting ingest connect the record to the tools your firm uses.
Preparation begins with the client context, not a calendar invitation. Ask to see how briefs, open commitments and information gaps fit your firm’s working day.
Supported connections include Microsoft 365, Gmail, Zoom, Microsoft Teams, Redtail and DocuSign. WhatsApp is not listed as a supported connection. Unindexed sources are refused and logged rather than treated as evidence.
The documentation stays connected to its evidence and review history. Inspect the transcript context, correct the draft and preserve sign-off alongside the exported record.
Team members can contribute to draft records. CCO or owner roles finalize them. Your firm remains responsible for its review decisions and documentation requirements.
No. ComplyVault supports documentation and review. AI-generated drafts need human review, and an export does not establish that advice or a firm is compliant.
See the work. Inspect the evidence.
See how one client conversation becomes a record your team can review.
Recording review and documentation are available today. Preparation and live capture are in preview.
Keep the context. Keep the record.
A 30-minute walkthrough on a real client conversation.
Book a demo