Smartria, a leading cloud-based compliance management platform trusted by thousands of registered investment advisors (RIAs), broker-dealers, and compliance consultants for more than a decade, announced the launch of SmartArchive, a new AI-powered digital communications archiving and surveillance capability that gives firms a single platform to capture, monitor and review business communications across multiple channels.

For RIAs and broker-dealers, communications recordkeeping is a core regulatory obligation; one that has only grown more complex as client and prospect conversations spread across more channels than ever. SmartArchive is built to meet that obligation directly: messages are captured, retained and made searchable from one centralized, secure system, so compliance teams can respond to audits and demonstrate oversight without piecing together multiple tools.

SmartArchive is the third addition to Smartria's AI-powered compliance suite, joining the first two AI-powered features the company introduced earlier this year at the Future Proof Citywide conference in Miami Beach: SmartReview, an AI-Powered Marketing Review assistant that lets employees pre-screen content for potential compliance issues before submitting it for approval, and SmartAssist, an AI-powered chat tool that answers questions about SEC and FINRA rules in plain language.

AI features are arriving quickly across the compliance technology industry, with new tools launching from vendors of every size. With more than a decade as a trusted provider, SmartRIA has built its approach to AI by listening closely to clients about where innovation can and should apply and taking a thoughtful approach to how it implements, deploys and uses AI. Smartria's AI models are API-driven and built in-house, with the company training its own agents rather than relying on third-party providers, an approach designed to incorporate AI more safely.

"Our vision has always been to simplify compliance for advisory firms," said Patrick Hunt, chief executive officer of Smartria. "The success of our AI-powered offerings made it clear that clients value an integrated approach, and adding archiving is a natural evolution of that strategy. The firms that earn lasting trust in this industry won't simply be the fastest to add new features; they'll be the ones that apply AI thoughtfully, staying human-centric while still being efficient, and protecting what our clients actually depend on: accuracy, security and compliance. SmartReview's AI-powered-review capability already works this way, helping employees catch potential issues early while leaving the decision to approve with a person."

SmartArchive, with technology licensed from Presults, enables firms to securely archive a range of communications, including text messages, social media messages, emails and websites, from one centralized platform. Having achieved System and Organization Controls (SOC) 2 status, Smartria has been known for its deft and safe compliance services for the last decade. Firms can manage communication records, respond to SEC and FINRA examinations and stay audit-ready without adding complexity to their workflows.