FOR COMPLIANCE TEAMS

Every record, in one place.

Supervision, recordkeeping, and audit prep run off the same client record your team already uses.
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Trusted by premier advisory firms

Trusted by leading financial firms
CONFIDENCE IN EVERY RECORD

Everything your team does. One complete record.

Reviews, escalations, and exam prep pull from the same system your team uses every day.

One record, examiner-ready.

The same record the advisor works from is the one compliance reviews, so there is no reconciling two versions of events.
  1. ONGOING SUPERVISION

    Reviews run on schedule.

    Recurring reviews, attestations, and check-ins fire as workflows, so supervisory steps happen on time, every time, for every advisor.
  2. COMMUNICATIONS

    Nothing lives in a personal inbox.

    Client emails and meeting notes attach to the record automatically, so supervision is not blocked by someone forwarding messages after the fact.
  3. AUDITS & EXAMS

    Pull the history, not a story.

    Every action is timestamped and attributed, so responding to an examiner or auditor means retrieving a record, not reconstructing one from memory.
  4. AS YOU GROW

    The same oversight at scale.

    New advisors and new offices follow the same supervisory workflow, so growth does not mean gaps in coverage.

THE PLATFORM

What’s inside Wealthbox.

A complete history of every client relationship

SUPERVISION WORKFLOWS

Oversight that runs
on schedule.

Turn recurring reviews, attestations, and escalation steps into workflows the whole team follows.

  • Standardize reviews, attestations, and escalations as workflows
  • Every step is dated, assigned, and timestamped
  • Nothing depends on one person’s calendar
AUDIT TRAIL & RECORDKEEPING

A record built for the moment you need it.

Every note, email, meeting, and task is logged against the client record as it happens, with a full history of who did what and when.

  • Full activity history on every client record
  • Time-stamped, attributed entries, not reconstructed notes
  • Accessible records for exams, audits, and inquiries
TASKS & ESCALATION

Flag it, route it, and prove it got handled.

Route items that need review or sign-off to the right person, and track what is open across the team.

  • Assign and route review items with full context attached
  • See what is open, overdue, or awaiting sign-off firm-wide
  • A visible trail from the flag to the resolution
DATA INTEGRITY & PERMISSIONS

Keep the record accurate, and access controlled.

An open API and 150+ integrations keep other firm systems in sync without creating a second, unmonitored copy of client data.

  • Bulk import, de-dupe, and tagging without editing records one at a time
  • Role-based permissions to control access by team or function
  • Open API and 150+ integrations to keep systems in sync

150+ Integrations

Connect seamlessly
with the tools you love.

Email and calendar sync feed the record automatically. Document storage keeps files attached to the client. An open API and over 150 integrations keep other compliance and recordkeeping systems aligned with what is in Wealthbox.

Explore integrations

Questions compliance teams ask.

Yes. Every note, email, meeting, and task is logged against the client record with a timestamp and the team member who created it, so the activity history does not need to be reconstructed later.
Workflows turn recurring reviews, attestations, and escalation steps into a repeatable sequence every advisor and reviewer follows, with each step a dated, assigned task. Coverage does not depend on any one person remembering the schedule.
Because client activity is documented as work happens, preparing for an audit or exam means reviewing a complete history instead of reconstructing one.
Yes. Role-based permissions control what different team members and functions can see and edit, so access can be limited to what a given role actually needs.
Yes. An open API and 150+ integrations connect Wealthbox to other firm systems, and email and calendar sync keep communications on the record automatically.

FOR COMPLIANCE TEAMS

See how your firm’s record holds up under review.

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