Smart Advisor builds software for financial advisors and advisory firms. This page describes the role our product plays in your compliance program and the responsibilities that remain with you.
Smart Advisor is a productivity and recordkeeping platform. It provides a CRM, AI meeting notetaker, briefings, family/heir tracking, a supervisory queue, archiving, and a client portal to help advisors run their practice more efficiently.
Nothing generated by or contained in the Service — including AI summaries, briefings, suggested tasks, or templates — constitutes advice of any kind. Output is informational and must be reviewed and approved by you before use.
Our archiving features can retain supported records in a write-once, read-many (WORM) configuration intended to support recordkeeping workflows under rules such as SEC Rule 17a-4 and similar requirements. These features are designed to assist your program; they do not by themselves establish or guarantee compliance. You are responsible for configuring retention appropriately and confirming sufficiency with your CCO.
The supervisory queue and related features help surface items for review. They do not replace the judgment of a qualified supervisor or the policies and procedures your firm is required to maintain.
Recording laws vary by state, and some states require all-party consent. You are solely responsible for obtaining any consent required before recording or transcribing a meeting using the Service.
AI features can produce inaccurate or incomplete output. Treat AI-generated notes and summaries as drafts to be reviewed. Do not rely on AI Output as your sole record of a client interaction without verifying it.
Smart Advisor is operated in the United States and hosts data with United States cloud providers. See our Security page and Privacy Policy for details on how data is handled.
Any testimonials, customer names, or performance figures shown on our marketing pages are for illustration. They are not a guarantee of results and do not constitute a recommendation or endorsement of any security or strategy. Where testimonials appear, they reflect the experience of the individual and may not be representative.
For vendor due-diligence materials — such as our security overview, subprocessor list, or a data processing addendum — contact compliance@smartadvisorx.com.
Questions about how Smart Advisor fits your compliance program? Email compliance@smartadvisorx.com.