Greenboard
Greenboard · Other
Greenboard is an AI compliance platform for SEC and FINRA regulated investment firms. It combines archiving, supervision, employee compliance and marketing review in one system.
About Greenboard
What Is Greenboard
Greenboard is compliance software for US investment advisers and broker-dealers, built around the work a chief compliance officer gets through in a normal week: reading flagged emails, chasing attestations, clearing personal trades, approving marketing copy, filing forms. The company is based in New York, was founded in 2023, and says it serves more than 750 regulated firms.
Most SEC compliance software grew by addition. An archiving vendor, a supervision vendor, a survey tool for attestations, a separate system for marketing review, a spreadsheet for gifts and entertainment. Greenboard's argument is that all of it belongs on one record. A flagged message, a pre-clearance request and a signed attestation land in the same audit trail, and that trail is written to WORM storage built to meet SEC Rule 17a-4. When an examiner asks how a decision got made, the answer is in one place.
The limits are worth knowing before you sit through a demo. There's no published price list, no self-serve signup and no free tier, so buying it means a sales conversation. The rules it encodes are US securities rules, which makes it a poor fit for firms regulated elsewhere. GreenboardGo is also only as useful as the policies and records you feed it.
Getting Started
- Book a demo at greenboard.io. Bring a list of the systems you run today, because onboarding starts with mapping your existing records into the platform.
- Connect your sources. Email and messaging channels feed the archive, brokerage and custodian accounts feed trade data, and your written policies feed the AI layer.
- Set up supervision. Greenboard ships templates for common SEC and FINRA requirements, and you adjust review queues, thresholds and named reviewers on top of them.
- Turn GreenboardGo on for staff. Employees ask policy questions inside Slack, Teams, ChatGPT or Claude, get answers grounded in your own documents, and hand unclear cases to a compliance owner.
- Run one review cycle and export the record. Implementation is measured in weeks rather than quarters, and the audit trail starts filling from the first day.
Product Information
A quick look at Greenboard's pricing, supported platforms, and performance.
Best for
The users, tasks, and scenarios where this tool fits best.
Users
- Chief compliance officers at RIAs and broker-dealers
- Compliance analysts
- Advisers and other non-compliance staff
Tasks
- Email archiving and supervision
- Marketing compliance review
- Employee compliance
Scenarios
- Exam preparation
- Firms adding headcount quickly
- Consolidating point solutions
Key features
GreenboardGo, an AI Layer on Your Own Records
GreenboardGo is the conversational layer that sits on top of the firm's policies, communications and workflows. An employee types a question in plain language and gets an answer tied to the firm's own written policy, not generic regulatory guidance. Anything ambiguous gets routed to a named compliance owner, who reviews, edits and approves before the decision is recorded. It works inside Slack, Teams, ChatGPT and Claude, so people don't have to open another tab to stay compliant.
Communications Archiving and Supervision
The platform captures email and messaging traffic, keeps it in tamper-resistant storage and screens it against supervision rules. Reviewers work from queues with AI-generated context, and the vendor reports customers seeing far fewer false positives than on their previous systems. Each disposition is logged, which turns supervision from a monthly scramble into a routine with a trail.
Employee Compliance and Attestations
Attestation campaigns, outside business activity reviews, gift and entertainment logs and political contribution checks run from one module. You set who needs to attest, the system chases non-responders, and completion rates sit on a dashboard. For a team that used to build those campaigns in a spreadsheet, the time saving is the point.
Marketing Compliance Review
Advisers and marketing teams submit drafts, and reviewers comment, request changes and approve inside a workflow instead of an email thread. The approved version is stored alongside the comments, so a later question about why a claim was allowed has an answer. Firms with heavy content output tend to feel this one first, since review speed decides how fast the content team can publish.
Trade Pre-Clearance and Regulatory Filings
Personal trade requests, holdings checks and restricted list screening are handled in the platform, with approvals time-stamped. Form ADV and Form U4 updates, plus the filings around them, can be prepared and tracked in the same console. It removes the step where a compliance officer rekeys the same information into a filing system.
One Audit Trail for Exams
Every action across the modules writes to a WORM-based record built for SEC Rule 17a-4, the retention standard that governs how books and records must be stored. That includes the AI steps: when GreenboardGo answers a question or takes an action, the reasoning and the approval are captured. Examiners get an export, and the firm gets a defensible answer about who decided what and when.
Pros and cons
Pros
- Replaces several point tools with one system, which cuts both license cost and the number of places a record can go missing. Compliance automation you can point at, not five dashboards to reconcile.
- The audit trail covers AI activity too, so answering an examiner's question about an automated decision doesn't require a separate explanation.
- Works inside Slack, Teams, ChatGPT and Claude, which raises the odds that staff actually use it instead of emailing the compliance team.
- Review queues and AI summaries target the slowest part of supervision, the manual read.
Cons
- No public pricing and no free trial. You can't evaluate cost or fit without a sales call, and budget planning is harder for it.
- Built around US securities regulation, so advisers in the EU, UK or Asia get little value from the compliance templates.
- GreenboardGo's accuracy depends on how current and complete your policy documents are. Thin documentation produces thin answers, and someone has to own that upkeep.
Frequently asked questions
It runs the day-to-day compliance program for a US investment firm: archiving and supervising communications, collecting employee attestations, reviewing marketing material, clearing personal trades, and keeping the resulting records in exam-ready form. GreenboardGo adds a conversational AI layer on top of those records.
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