NEW YORK, March 15, 2023 — Today, a COMPLY™ announcement shared three new points of integration with wealth management platform Advyzon: 13F Filing, Compliance Calendar and Employee Trade Monitoring. COMPLY is a leading provider of regulatory technology and compliance solutions for the financial services sector. Together, the strategic integrations create scale through operational efficiencies, ultimately enabling a stronger culture of compliance for advisory firms.
The partnership aligns COMPLY’s comprehensive compliance expertise with Chicago-based Advyzon’s integrated wealth management platform that helps advisory firms of all sizes run and scale their business, combining customizable performance reporting, flexible billing, robust client relationship management and more in one integrated platform. Together, the firms will provide additional solutions through MyRIACompliance® software, powered by COMPLY’s RIA in a Box.
Integrations include:
- 13F Form Filing: Automatically populates firm holdings and files a firm’s 13F Form, eliminating manual intervention.
- Compliance Calendar: Complete required regulatory compliance tasks without leaving the Advyzon platform, removing the need to manage multiple calendars and enhancing a firm’s culture of compliance.
- Trade Monitoring: Automatically populates client transactions from Advyzon into the same view as employee transactions for comparison and auto-flagging of any potential employee trading violations.
“COMPLY is committed to bringing the most comprehensive regulatory compliance solutions to market, including strategic partnerships like that with Advyzon, to improve efficacy and efficiency in our clients’ compliance programs and businesses at large,” said COMPLY Chief Product Officer David Bliss. “Before this partnership, our mutual clients had to employ manual processes to apply the full value of their Advyzon-housed data towards the 13F Filing and Trade Monitoring processes offered through COMPLY. By bringing to market these critical integrations, one of which is a first of its kind for both COMPLY and Advyzon, we empower firms to increase automation and focus their energy on higher value tasks.”
“We’re thrilled to integrate with COMPLY’s MyRIACompliance,” added Advyzon Chief Revenue Officer John Mackowiak. “We have quite a few clients in common already and are always looking for ways to add value and enhance the user experience. This integration leverages data already within Advyzon and eliminates extra effort involved with compliance.”
About COMPLY
At COMPLY, we pride ourselves on being the champion for compliance professionals. Merging technology, consulting and education, we help clients navigate the ever-changing regulatory environment. Our portfolio of solutions includes ComplySci, RIA in a Box, National Regulatory Services (NRS) and illumis, whose more than 7,000 clients include some of the world’s largest financial institutions. Clients throughout our portfolio of firms enjoy access to our full suite of industry-leading governance, risk and compliance (GRC) consulting, technology, managed services, analytics and outsourcing solutions.
Learn more at COMPLY.com.
About RIA in a Box
RIA in a Box, a COMPLY company, is the leading provider of compliance, cybersecurity and operational software to wealth managers and investment organizations. More than 2,800 registered investment adviser (RIA) firms use the platform to increase compliance workflow efficiency and to automate regulatory requirements.
Visit riainabox.com for more information.
About Advyzon
Advyzon is a comprehensive, intuitive, cloud-based, wealth management technology that helps RIAs run and scale their firms. The tools provided combine eight completely customizable capabilities with powerful business intelligence including: performance reporting, flexible billing, robust client relationship management (CRM), trading & rebalancing, client portal and mobile app, secure and compliant document storage, investment management (TAMP), and seamless prospecting. A team of entrepreneurs led by CEO Hailin Li, Ph.D., CFA®, Advyzon strives to innovate in strategic and useful ways. Financial advisors inspire their innovation and integrations, and their exceptional technology and unmatched service exist to improve the advisor experience – whether it’s via portfolio and firm management or client relationships and growth. To learn more about Advyzon, visit www.Advyzon.com.
View original content to download multimedia.
###
Media Contacts
Donald Cutler/Lorene Yue
Haven Tower Group
424-317-4864 or 424-317-4854
