Broker-Dealers & Wealth Management
Supervision tools, client technology and managed security for independent broker-dealers, RIAs and multi-family offices.
Moraph Wealth Management Solutions works with independent broker-dealers (IBDs), registered investment advisors (RIAs) and multi-family offices. We build and run the technology these firms use for supervision and client service, from the trade blotter to the client portal. The same systems serve an independent representative building a book of business and a compliance officer monitoring thousands of trades.
This page is an overview of all three. Each segment also has its own page, linked above.
Supervision and record-keeping rules we configure for
Advisors want mobile, fast tools. Their firms still have to meet Reg BI, SEC Rule 17a-4 and FINRA 3110. We set up WORM (write once, read many) retention, controls based on NIST cybersecurity frameworks, and Reg BI disclosures when a system is first deployed, rather than adding them afterward. That applies to a CRM rollout as much as to securing a hybrid workforce.
Applications we built for compensation, disclosure and branch supervision
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Commissions Reporting Dashboard: calculates IBD payouts, including splits, overrides, tier adjustments and haircuts, and keeps each calculation auditable. It is designed to replace spreadsheet-based payout calculations.
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Disclosure Management App: compiles, distributes and archives required client disclosures such as Form CRS and Form ADV, so client interactions carry the disclosures the rules require.
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Supervisory Control Portal: brings trade alerts, email flags and other risk signals into one view so branch office examiners can run branch audits remotely.
Microsoft 365, archiving and custodian data, set up for supervision
Advisory firms want tools like Microsoft 365 and Salesforce, configured so supervision still works. We implement and manage them on that basis:
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Collaboration: Microsoft 365 with Information Barriers and Data Loss Prevention (DLP), so advisors can work together without leaking NPI.
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Communications Surveillance: Teams, Zoom, Slack and text messaging connected to archiving services such as Smarsh, Global Relay or Hearsay, so messages are captured, indexed and searchable for eDiscovery.
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Data Aggregation & Analytics: Snowflake or Databricks combining custodian feeds from Pershing, Fidelity and Schwab into a whole-wallet view of each client, with row-level access controls.
Independent broker-dealers
IBDs need to recruit and keep advisors while supervising them centrally. Our "Advisor-in-a-Box" onboarding packages secure email, device management and access to our applications for advisors moving to your firm. We also automate monitoring of trading against restricted lists and wash-sale rules, and manage endpoint protection on independent contractor devices so a compromised home laptop is less likely to reach firm data.
Registered investment advisors
For fee-only and hybrid RIAs, efficiency drives margin, so we work with COOs on removing manual steps. Projects include document-sharing client portals connected to reporting software such as Orion, Black Diamond or Addepar, in place of email attachments; virtual desktops (VDI) for staff who need portfolio systems away from the office; and the cybersecurity policies and incident response plans the SEC has proposed for investment advisers.
Family offices and UHNW practices
Here discretion and privacy come first, for the firm and for its principals. We monitor high-profile principals more closely for targeted phishing (whaling) and reputation attacks, limit aggregated multi-generational wealth reporting to authorized family members and trustees, and set up encrypted voice and messaging for family governance discussions.
Managed Governance: monitoring, service desk and vendor reviews
Our work continues after go-live. One recurring issue is advisors using unapproved apps such as WhatsApp to talk to clients, so monitoring communication channels is part of the service.
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Continuous Compliance Monitoring: automated GRC tools check your environment against SEC, FINRA and internal policy controls and produce evidence for your Chief Compliance Officer.
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Service desk: support for wealth clients goes to our Global Resilience Command, which treats an advisor unable to execute a rebalance during market volatility as urgent.
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Vendor Due Diligence: we help you manage the risk in your third-party fintech stack by checking that planning software and risk analytics tools meet your firm’s security standards.
To review Moraph’s own controls, request our SOC 2 Type II report, ISO/IEC 27001 certificate and control mappings, shared under NDA through the Trust Center evidence pack.
Solutions
Explore our Financial Services solutions
20 Moraph-built products and 20 managed platforms, each delivered inside our compliance envelope.