Already aligned with SEC and FINRA guidelines, our Vendor Management platform helps you:

Avoid Regulatory Fines
Reinforce Data Security & Integrity
Streamline Operations to Increase Revenue
Turn Vendors Into Strategic Partners


Improved Vendor Partnerships

Traditional vendor relationship management is disparate and disorganized. In reality, it should be the true cornerstone of wealth management firms to drive more effective operations and client surface. Our platform standardizes the processes, reporting and communication strategies that turn mission-critical vendors into trusted partners, and empowers you with the data necessary to understand when it’s time to make a change.

Enhanced Data Security and Integrity

The average cost of a data breach for a financial services firm is $18MM per year – not to mention the ongoing reputational damage associated with poor data security. Maintaining the integrity of sensitive data is of the utmost importance for your client experience and for your business. Our platform helps you identify and take action on any potential data integrity gaps while maintaining clear records to stay ahead of regulatory scrutiny.

Increased ROI

One of the biggest struggles we see with effective vendor management is the ability to store, archive and quickly surface evidence of vendor due diligence and ongoing monitoring, which can lead to steep fines from regulatory bodies if your firm is unable to prove how it’s protecting client information. Our platform stores all of your past and in-progress review and discovery initiatives in a single place, streamlining vendor-specific operational tasks and helping you avoid fees or penalties from regulators.


From our intuitive, easy-to-use dashboard:

Pre-built security assessment questionnaires can be easily distributed to vendors

All files and results are cataloged and stored automatically on the platform

Open issues are documented and action items clearly identified 

Assessment scores, open projects and issue rankings are displayed dynamically