Registered Investment Advisers
Track suitability reviews, recommendation rationale, and client documentation in one structured, audit-ready system.
Centralize compliance reviews, recommendations, AML activity, and documentation in one audit-ready system.
Document recommendations when advice is given, maintain review schedules, and generate audit-ready client records.
Be prepared when regulators ask for documentation.
| Client | Recommendation | Result |
|---|---|---|
| Margaret Chen | Reallocate 20% from equities to bonds | Aligned |
| James Rodriguez | Add international equity ETF | Needs Review |
| David Park | Invest 30% in pre-IPO placement | Mismatch |
Monitect brings structure and visibility to compliance activities that are often fragmented across systems and manual processes.
Reviews, recommendation rationale, AML activity, supervisory follow-up, and audit documentation often live across spreadsheets, email, CRMs, notes, legacy tools, and disconnected systems.
Monitect brings these processes into one structured, reviewable system.
| Client | Frequency | Review Due | Status |
|---|---|---|---|
| Margaret Chen | Annual | Apr 17, 2026 | Overdue |
| James Rodriguez | Semiannual | May 07, 2026 | Due |
| Sarah Thompson | Quarterly | May 22, 2026 | Due Soon |
| Linda Morrison | Semiannual | Jul 31, 2026 | Scheduled |
| David Park | Annual | Sep 30, 2026 | Scheduled |
Track suitability reviews, recommendation rationale, and client documentation in one structured, audit-ready system.
Manage AML activity, exception tracking, supervisory reviews, and compliance documentation with clear audit trails.
See open items, overdue reviews, documentation gaps, and compliance activity across the firm.
Track client suitability profiles, review schedules, recommendation rationale, profile snapshots, and client audit records.
Manage AML alerts, case tracking, SAR-related documentation, and review activity where AML monitoring is required.
Identify, assign, document, and resolve compliance exceptions with clear ownership and timestamps.
Generate structured reports showing profiles, reviews, recommendations, rationale, timestamps, and audit trail activity.
View overdue reviews, open exceptions, missing documentation, recent activity, and firm-wide compliance status.
Document advice when it is given, keep client reviews on schedule, and maintain audit-ready records without rebuilding history later.
| # | Account | Rule | Status | Due |
|---|---|---|---|---|
| 4 | Petrov Family Trust | Foreign Counterparty | New | May 23 |
| 3 | Lightbridge Capital LP | Foreign Counterparty | Supervisor Review | May 05 |
| 2 | Al-Rashid Trading Co | High Frequency | In Progress | May 16 |
| 1 | Meridian Ventures LLC | Large Cash | Closed | — |
Monitect also supports AML workflows for firms that need alert tracking, case management, SAR-related documentation, and structured review history.
Instead of pulling information from multiple systems or reconstructing decisions after the fact, Monitect keeps profiles, reviews, recommendations, rationale, and timestamps organized in one place.
| Date | Recommendation | Type | Result |
|---|---|---|---|
| Apr 22, 2026 | Reallocate 20% equities to bonds | Rebalance | Aligned |
| Frequency | Next Review | Status |
|---|---|---|
| Annual | Apr 17, 2026 | Due |
Monitect is built by a boutique software firm with experience delivering custom systems for approximately 30 clients, including broker-dealer environments. The platform brings that practical experience into focused compliance workflow software for RIAs and broker-dealers.
Learn More About UsSee how Monitect can help your firm centralize reviews, recommendations, AML activity, and audit documentation.
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