I’m saving hours each month with this necessary piece of the puzzle taken care of. 

Now that all of my compliance tools are conveniently located in one place; I no longer have to jump between three different apps to manage my compliance responsibilities.

The intuitive user interface makes getting to what I need really easy. I’m able to get in and out quickly without spending 10 minutes trying work my way around a complex interface.

I now have peace of mind knowing that when my next audit comes, it’s simple and easy to pull up and export all the information I’ll need.

ComplianceHero allows me to focus on what I do best.”


Chuck Donalies | CFP®  | Founder of Donalies Financial Planning

Hands-Off Tools To Help You Easily Manage
An Ongoing Compliance Program

Centralized Compliance Archiving

Archive Your Email, Social Media, Website & Client Notes

Automated Client Profiles

Your client email, notes and documents in one location

Compliance Supervision

Anything detected as potentially non-compliant is automatically prepared for your approval or escalation

Breeze Through Your Next Audit

With quick and simple audit-assist exporting and reporting

Try For Free
No credit card required.

In The Past Managing All Your Compliance Tasks Was Really Difficult

These are actual quotes we’ve heard from firms all over the United States.

“As a small firm, it’s hard for us to spend so much time on all these non-revenue generating activities”

“Our compliance tasks often slip through the cracks and end up compounding into the following week”

“I’m bored out of my mind managing all these little things that need to get done”

“The next audit is always in the back of my mind and I don’t know how many weeks of postponed meeting and lost fees it will cost me”

“We’re paying for compliance consulting. They helped us set up a compliance program but our checklist remains a manual process”

Just some of the things advisors need to keep track of to manage a compliance program:

 Email Archiving…

 Social Media Archiving…

 Website Archiving…

 Client’s Financial Statements…

 Client Notes…

 Complaints Log…


 Recurring Calendar Reminders…

 And Compliance Consultants…

 Investment Management Agreement…

 Financial Planning Agreement…

 ADV Part 2…

 Monthly Checklists…

 Monthly Checklists…

 Email Archiving…

 Social Media Archiving…

 Website Archiving…

 Complaints Log…

 Financial Planning Agreement…

 Investment Management Agreement…

 Recurring Calendar Reminders…


 Client’s Financial Statements…

 Compliance Consultants…

 ADV Part 2…

 Privacy Policy…

 Client Notes…

If you’re anything like most small firms, managing all these moving parts is a nightmare.

And your compliance tasks often fall through the cracks…

Centralize Your Compliance

Email archiving, social media archiving, website archiving, client note archiving,
compliance document management and compliance logs in one central location.

“With everything in one location, I’m able to quickly find improper language and create audit trails.

Doing this manually, I’d have to first go audit one location, then the next, then another, and then create all the records, adding a lot of friction to my day.

It makes my world a whole lot easier knowing that I’m able to manage my compliance from one location and easily plug a new team member straight into ComplianceHero with the simple user interface.

It’s comforting to know that I have ComplianceHero doing all this heavy lifting for me.”


Chris Staples | CFP®  | President of Wealth 360 Advisors.
Past Chair on the Board of Directors Financial Planning Association Georgia.

Designed To Get Compliance Out Of Your Way


Runs quietly in the background of your firm.

Adapts To YOUR Business

By integrating with all your existing tools.
Including your CRM.

Saves You Time And Focus

Automating the boring stuff so you can get back to growing your business.

Bank Level Security

Your data and connection are secured and encrypted using SSL and 256-Bit AES technology.

Enforce Your Policies with Automatic Archiving and Supervision.

Build Your Archives

Connect your website, email, social media and CRM (for notes).

Integrations with Wealthbox and Redtail available.

Automatic Supervision And Flagword Detection.

We’ll run the searches and let you know if anything popped up.

Review And Approve.

If a flagword is triggered, it’s filtered out for you to review, approve or escalate. All actions are timestamped leaving a secure audit trail.

Build Your Archives

By connecting your website, email, social media and CRM (for notes).

Wealthbox and Redtail supported

Your Compliance Logs Are Prepared For You Every Month

Define your flag words. We’ll run the searches and let you know if anything popped up.

Review And Approve Your Logs

With everything in one place, it’s easy to search and review your archives.

Document Management Built Just For You

The days of shoe-horning apps into your firm are over.

All Your Clients’ Compliance Documents In One Location

Financial Statements, Client Notes

Agreements, Invoices, Risk Profile

Customized Audit-Ready Exports

From your archives in minutes.

Based exactly on what your auditor wants to see.

Try For Free
No credit card required.

Build Your Complete And Permanent Archives

Get Fully Set Up In 5 Minutes.

Enter your firm's website address

ComplianceHero regularly archives your website for you.

When the auditor calls, your archives are ready and waiting for you.

Your archived website will act exactly as it did on the day it was archived.

Connect Your Email

It’s as quick as a couple of clicks. No need spend hours fiddling with confusing settings menus.
All historical and future emails are automatically archived for you.

Connect your CRM.

With your CRM connected, ComplianceHero will sort all archived email related to your clients into a centralized client profile for you.

Past and future Client Notes created in your CRM are synced and archived in this client profile.

Last Step...
Connect Your Social Media

Connect your Facebook Profile, Facebook Page, Twitter, LinkedIn Business Page, LinkedIn Profile.

If an update is detected on any of your connected platforms it’s automatically captured for you.

Simplifying compliance with the SEC 17a-4, FINRA 10-06, and FINRA 11-39 regulations.

Try For Free
No credit card required.

Your Archives Are Automatically Prepared For Review

Review and approve your archives in minutes.

Simple supervision and flag word detection 

Define your flag words according to your policies. ComplianceHero automatically searches your archives for these words in the background. If a flag word is detected in your archives, it’s filtered out and prepared for your approval or escalation.

Exam-ready audit-trails

When you approve or comment an archive, a clear and unchangeable audit trail is automatically created.

No need to keep manual logs or maintain spreadsheets anymore. ComplianceHero does your logging for you quietly in the background.

Automatic and Centralized Client Profiles

Access all your clients’ records from one central location.

Search, store and view all compliance documents for each of your clients

  • Email. Sorted by client.
  • Notes. (Synced from your CRM)
  • Financial Statements.
  • Client Agreements
  • Invoices. Risk Profile.

Click on any record in your clients’ profile to view it in more detail.

Easily export everything into a complete package, ready to deliver to your auditor.


NOTE: Free concierge data migration available if you already have client files stored elsewhere.

Search, store and view all compliance documents for each of your clients

Email. Sorted by client.

Notes. (Synced from your CRM)

Financial Statements.

Planning Agreement.

Investment Agreement.

Risk Profile.

Easily export everything into a complete deliverable package, ready for the auditor.

NOTE: Free concierge data migration available if you already have client files stored elsewhere.

Breeze Through Your Next Audit

Generate auditor friendly reports in minutes.

With everything in one place, you’re always ready to provide your auditor with exactly what they want.

When your auditor says “Show me everything you have related to Client X” or ask to see your email, social media, website, audit trails or your compliance logs.

You’re ready to deliver a complete and customized file in minutes.

Free and unlimited exports. We will never charge you to export data.

Try For Free
No credit card required.

Here Are A Few FAQs We Get Asked

If you have any other questions ask us here!

“I get a tremendous amount of relief knowing that all of our electronic communication, website and social media are automatically being archived and secured for us.

With everything in one neat and integrated location, we’re able quickly and painlessly put together any information we require for an auditor or client. Saving us hours of work.

ComplianceHero allows us to focus on serving our clients and growing our business.”

roy larsen image

Roy Larsen | CFP®  | President of Larsen Wealth Management
Past Chairman of the Forsyth County Chamber of Commerce

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