Your firm type determines your compliance obligations. Your supervision platform should too.
BROKER-DEALERS
Communications supervision for regulated broker-dealers
When an advisor asks whether they can use iMessage or WhatsApp with clients, the answer at most firms is no - not because compliance wants to say no, but because they can't supervise what they can't see. Meanwhile, off-channel enforcement has cost the industry billions in fines, and the rules remain the same. MirrorWeb gives broker-dealer compliance teams full channel coverage and supervision that turns that no into a yes - without adding to the review burden - built on a communications archive that captures email, text, social media, mobile, and more in a single platform.
Mobile and personal device capture
Clients text. They text after hours, across time zones, on deals that can't wait until Monday. Trusted Contacts lets advisors respond from their personal phone without compromising their privacy - personal messages stay personal, business communications are captured automatically. One device. No workarounds. Every message ready for supervision.
Social media archiving, including LinkedIn
Full capture of posts, messages, and interactions across social channels, archived in their original format and searchable within minutes of capture.
Automated supervision with explainable decisions
AI monitors for compliance risk across your entire communication footprint and tells you exactly why it flagged what it flagged. No black boxes. Every alert is defensible to a regulator.
REGISTERED INVESTMENT ADVISORS
SEC-ready supervision for leaner compliance teams
Most RIA compliance teams are running lean and saying no every day — no to iMessage, no to WhatsApp, no to the channels half their clients already prefer. Electronic communications are a top priority in the SEC's 2026 examination program, but the daily cost isn't just regulatory. Every channel advisors can't use compliantly is a client relationship at risk. MirrorWeb gives smaller compliance teams the coverage of a much larger operation, without the overhead - including a multi-channel communications archive that meets SEC electronic recordkeeping requirements out of the box.
Compliant texting from a single personal phone
Your advisors' clients text from personal numbers and expect a response in kind. Trusted Contacts makes that compliant without a second device or a policy that nobody follows.
Fewer false positives, faster reviews
AI supervision learns your firm's communication patterns and flags only the conversations that carry real risk. Your team reviews less. It catches more. For a small RIA compliance function, that difference is significant.
No data lock-in, no extraction fees
Your archive belongs to your firm. Switch vendor without paying to leave. MirrorWeb charges no export fees and gives you clean, portable access to everything you've stored.
MIRRORWEB INSIGHT
Everything under one roof
Unified channel coverage
Email, SMS, iMessage, WhatsApp, social media, Microsoft Teams and more, captured and archived from one platform. New channels don't create new compliance gaps.
Sentinel AI supervision
The AI handles the noise. Your team handles the risk. Every alert comes with a plain-language rationale your team can see, review, and defend to a regulator. Not "the algorithm decided" - a documented decision with your firm's compliance logic behind it.
Trusted Contacts
Compliant texting from a single personal phone, for every firm type. Advisors keep their personal messages private - Trusted Contacts captures only business communications, automatically, without them having to think about it.
Examination-ready archiving
Multi-channel archiving for email, SMS, iMessage, WhatsApp, social media, and more. Native format capture, compliant retention, and instant full-text search. When the regulator asks, you have the answer in seconds.
Compliance looks different at every firm.
We'll show you what it looks like at yours.