In short
Private Wealth · Regulatory Compliance Tooling
Fiduciary duties, SEC and FINRA rules and state requirements produce a steady stream of evidence requests, attestations and reviews that most firms still manage in spreadsheets and shared drives, with the risk that something is missed until an examiner asks.
We build compliance tooling that fits how your firm actually operates: trade and communication surveillance, personal account and gift attestations, marketing review, KYC and suitability records, and audit-ready evidence collected continuously rather than reconstructed under deadline.
THE WEBIZONA DIFFERENCE
We understand fiduciary standards, SEC/FINRA requirements and the compliance demands that shape every architecture decision.
Solutions designed around how advisors and client service teams actually work, not how legacy platforms assume they do.
No proprietary lock-in. We integrate with your existing custodians, CRMs and reporting tools and hand you the documentation.
Personal trading, gifts and outside activity attestations with reminders
Trade and communication surveillance with exception queues
Marketing and client communication review workflow
KYC, suitability and Reg BI documentation linked to the client record
Policy and procedure version control with acknowledgement tracking
Examination packs produced from the system, not assembled by hand
Sometimes we integrate with them, sometimes we build the pieces they do not cover for your firm. The audit tells us which; we do not sell a platform.
Rules are tuned to your business and reviewed monthly, so exception queues stay small enough for a human to actually clear.
Yes. Evidence, attestations and review histories are stored against the control and the period, so an examination request becomes an export rather than a project.
Compliance tooling for one area such as attestations typically starts around $15,000; broader programmes are scoped and fixed-priced after the audit.
Tell us what you are trying to achieve and where things stand today. We reply within one business day with a straight answer on fit, approach and a realistic next step, no sales script.
