Is Comply Vault Right for Your Firm?
Built for RIAs who want meeting documentation that's consistent, evidence-linked, and reviewable — without adding compliance headcount.
Best For
Solo RIAs and small teams
who want a repeatable, exam-ready workflow
SEC-registered or state-registered RIAs
who run ongoing client review meetings
Firms that want consistent documentation
with disclosures + recommendations + follow-ups captured consistently
Advisors/CCOs who need complete workflows
with review + sign-off + audit trail in one place
Not Ideal For
Firms that don't conduct advice meetings (or don't document them)
Teams that already have end-to-end supervision + evidence workflows locked down
Broker-dealer only organizations needing primarily FINRA comms surveillance
Key Features
Everything you need to create compliant, evidence-linked client meeting documentation
Evidence-Linked Notes
Every claim in your compliance notes links back to the exact moment in the recording where it was discussed.
CCO Sign-Off Workflow
Built-in approval process with role-based permissions and audit trails for every client interaction.
Complete Audit Packs
Export PDF notes, CSV evidence maps, version histories, and transcripts in one bundle.
Meeting Transcription
Automatic transcription of audio/video files with speaker separation and timestamps.
AI Extraction
AI-assisted extraction of compliance-relevant items like recommendations, disclosures, and follow-ups.
Compliance Archive
Searchable archive of all finalized records with custom retention policies.
Ready to see if Comply Vault is right for you?
Schedule a quick fit check demo. We'll be honest about whether our solution matches your compliance needs.
Book a Demo