Built for the client relationships your regulators will scrutinise.

KYC refresh cycles measured in months, not quarters. Suitability documentation that needs to prove what was recommended and why. Client correspondence that lives in email until the SEC examination request arrives. TeamSync gives wealth management firms a structured document platform that makes RIA compliance an operational property of the firm — not a pre-examination scramble.

Talk to a wealth management solutions engineer · See use cases · Compliance coverage

What wealth management firms use TeamSync for.

KYC onboarding that opens accounts on time.

Identity documents, source-of-wealth packs, risk profiles, investment policy statements — structured as a client onboarding workflow that tracks completion per prospect. The relationship manager's attention stays on the client; the compliance team's attention stays on the checklist. New accounts open faster because the paperwork doesn't fall into a gap between email and the back office.

Suitability records that survive examination.

Every recommendation, every client instruction, every change to the mandate — timestamped, retained, and retrievable by client and date. When the SEC or FCA examiner asks to see the basis for a recommendation made 18 months ago, the answer is a complete file, not a search through email and meeting notes.

Periodic review cycles that close on schedule.

Annual review letters, updated risk profiles, refreshed KYC documents — managed as recurring workflows per client tier. The compliance calendar drives structured document collection; the adviser drives the relationship conversation. The two no longer compete for the same calendar slot.

Family office document governance.

Multi-generational client files, trust structures, estate planning documents, tax filings across jurisdictions — held in a single structured repository with granular permissions. Different family members, different advisers, different document access. TeamSync makes the permissions model match the mandate structure.

Client correspondence that is retained by design.

FINRA and SEC require broker-dealers and RIAs to retain client communications. TeamSync captures correspondence from email, portal, and document exchange into the client file automatically — so the retention record is complete without relying on adviser discipline to file every email manually.

Where TeamSync fits with your wealth management stack.

TeamSync does not replace your portfolio management system, your CRM, or your trading platform. It sits at the document layer those systems generate — the KYC file, the investment policy statement, the client agreement, the examination-ready correspondence archive.

Compliance, by name.

SEC Investment Advisers Act · FINRA Rule 4511 record retention · FCA COBS suitability records · MiFID II documentation requirements · AML/KYC · SOC 2 Type II.

Talk to us.

30 minutes with a solutions engineer who understands RIA compliance, KYC complexity, and the client relationship documentation that makes or breaks an SEC examination. Book a call →