Simplify RIA compliance with document management built for advisory firms.
Wealth management firms handle sensitive client portfolios, regulatory filings, and compliance documentation that demand the highest security standards. TeamSync brings document management, KYC workflow automation, and AI-powered search into one on-premise platform built for the regulatory complexity advisors face.
- 80%faster client onboarding and KYC documentation
- 5xfaster SEC examination preparation time
- 100%asset management compliance audit trail coverage
Document management built for financial advisors compliance
From client onboarding to SEC examinations, TeamSync organizes, secures, and automates every document your advisory firm handles.
Stay SEC and FINRA examination-ready at all times.
Every document action is logged with blockchain-backed timestamps. ADV filings, compliance reviews, and supervisory records maintain immutable audit trails. When regulators request evidence, your documentation is already organized and verifiable. Automated workflows enforce compliance checkpoints on client communications, investment recommendations, and trade documentation.
What changes when advisory compliance runs on autopilot.
Wealth management firms using TeamSync report measurable improvements across regulatory compliance, client service, and operational efficiency.
Faster SEC Exams
Automated evidence collection and organized audit trails mean your CCO spends days, not weeks, preparing for regulatory examinations.
Streamlined Client Onboarding
Automated document collection and KYC workflows turn multi-week onboarding processes into a smooth experience that impresses new clients.
Lower Regulatory Risk
Immutable audit trails, automated compliance checkpoints, and version controls create the documentation chain that protects your firm in examinations.
Better Client Service
Advisors find any client document in seconds, not hours. AI-powered search means spending more time advising and less time searching.
Secure Collaboration
Share documents with clients, custodians, and compliance partners through controlled access. Every view, edit, and download is tracked.
Scalable Growth
Add advisors, offices, or acquired books of business without creating another document silo. One platform governs all client records.
Built for every workflow your advisory firm runs.
TeamSync replaces scattered systems with structured, automated workflows designed for wealth management operations.
Client Onboarding & KYC
Automate identity verification, suitability documentation, and account opening with structured onboarding workflows and e-signatures.
Investment Policy Statements
Create, review, and update IPS documents with version control, client approval workflows, and annual review tracking.
Compliance Reviews
Run annual compliance reviews with structured checklists, document collection, and chief compliance officer sign-off workflows.
Client Communication Archive
Maintain searchable records of all client correspondence with immutable timestamps and regulatory retention compliance.
ADV Filing & Amendments
Track ADV filing schedules, manage amendment workflows, and maintain complete version history for regulatory submissions.
AML & Suspicious Activity
Document and track suspicious activity reviews, SAR filings, and enhanced due diligence with structured compliance workflows.
Our last SEC examination took two weeks to prepare for. After implementing TeamSync, we had everything organized and ready in two days. The on-premise deployment was a requirement for us, and the blockchain-backed audit trails give our compliance team real confidence.
Your data never leaves your infrastructure.
TeamSync deploys entirely on your servers, behind your firewall, under your control. No client data leaves your premises. No cloud dependency. No third-party access. Zero-knowledge, quantum-secure encryption means even TeamSync cannot read your documents. For firms with the strictest security requirements, air-gapped deployment eliminates internet connectivity entirely.
- SEC Rule 17a-4
- SEC Rule 204-2
- FINRA
- BSA/AML
- SOC 2
- GDPR
- Reg S-P
On-premise deployment architecture
See TeamSync in your environment.
Schedule a personalized demo tailored to your advisory firm's compliance requirements. See how TeamSync handles your specific regulatory workflows.