ComplyVault

What Is ComplyVault?

ComplyVault is compliance documentation software built for Registered Investment Advisors (RIAs). It converts client meeting recordings into speaker-diarized transcripts, then extracts topics, recommendations, disclosures, decisions, and follow-ups for compliance review.

Every extracted claim links to its exact transcript timestamp, helping compliance officers verify meeting details and create evidence-linked documentation. ComplyVault supports review and editing before Chief Compliance Officer (CCO) or Owner finalization, with audit trails and exportable audit packs for examination preparation.

Its structured outputs help firms standardize supervision documentation and reduce manual compliance work without adding proportional headcount.

What Is ComplyVault Best For?

A key differentiator for ComplyVault is its 'Evidence-Linked Notes', which tie individual compliance claims to precise timestamps and transcript excerpts. This makes it easier for compliance teams to verify whether extracted information accurately reflects the conversation. By keeping supporting evidence alongside each claim, reviewers can validate records more efficiently before finalizing documentation.

How Much Does ComplyVault Cost?

ComplyVault pricing starts at $299/month for the Essentials plan. The platform also offers:

• Professional: $799/month
• Enterprise: Custom pricing

Implementation is available from $2,500 and is waived with a 6-month or annual commitment.

Following are the additional estimated costs you need to consider before planning:

• Compliance Workflow Setup: $500–$2,500/one-time - Covers workflow and compliance rule configuration
• CRM And System Integrations: $100–$750/month - Covers connecting CRM and business systems
• Advanced Compliance Customization: $250–$1,500/month - Covers tailored workflows and retention rules
• Implementation And Onboarding: $1,000–$3,000/one-time - Covers setup, data configuration, and user training

Disclaimer: The pricing is subject to change.

ComplyVault Integrations

ComplyVault integrates with the following platforms, such as:

• Wealthbox
• Redtail
• Salesforce Customer360

How Does ComplyVault Work?

Here is how you can get started with ComplyVault after logging in:

• Access the dashboard to view pending drafts, finalized records, and review queue status
• Upload a meeting recording in MP3, MP4, WAV, or M4A format
• Generate a speaker-diarized transcript with timestamps
• Review AI-extracted topics, recommendations, disclosures, and follow-ups against linked transcript evidence
• Edit or correct extracted fields before submitting the record for finalization
• Route the draft to a CCO or Owner for review and sign-off
• Finalize the compliance record and export the audit pack as PDF, CSV, or ZIP
• Search the compliance archive for previously finalized interactions

Who Is ComplyVault For?

ComplyVault is suitable for firms and teams such as:

• SEC-registered RIAs
• CCO-led teams
• Growing RIA practices
• Part-time compliance teams
• Firms with regular client meetings

ComplyVault Use Cases

Based on our analysis of ComplyVault's current capabilities and the firm types it serves, we have identified key scenarios where this platform is a strong fit for advisory and compliance teams:

RIAs Documenting Adviser-Client Meetings

An RIA conducting regular client meetings may need to create detailed compliance records without relying on notes taken from memory. ComplyVault’s Transcript + Speaker Separation and Draft Compliance Note capabilities turn recordings into structured notes covering topics, recommendations, disclosures, decisions, and follow-ups. Teams can then review the draft before adding it to their official records.

Compliance Officers Verifying Meeting Documentation

A compliance officer reviewing adviser-client records may need to confirm that documented claims accurately reflect what was discussed. ComplyVault’s Evidence Mapping links each claim to the corresponding timestamp and transcript snippet. This allows the reviewer to trace individual statements back to the original recording before approving the record.

CCOs Approving Compliance Records

A CCO responsible for supervising client interaction records may need a controlled process for reviewing and approving documentation. ComplyVault’s CCO Review/Approve workflow allows the CCO to review and edit drafts before finalization. The platform also records reviewer sign-off information, including who finalized the record and when it was approved.

Outsourced CCOs Managing Multiple Clients

An outsourced CCO managing compliance documentation for multiple RIA clients may need centralized records and clear audit trails for each firm's interactions. ComplyVault provides a Searchable Archive for finalized records with metadata and filtering, while workspace isolation keeps each firm's data separated. This supports retrieval and review across multiple client workspaces.

Is ComplyVault Right For You?

Looking for a way to turn advisor meetings into audit-ready records without adding compliance staff? ComplyVault addresses the challenge of manual and inconsistent documentation by structuring compliance notes and linking extracted claims to evidence from the original meeting.

The platform is designed for SEC Rule 204-2-ready recordkeeping and supports UK FCA supervision workflows, with AES-256 encryption, TLS 1.2+ in transit, role-based access, and workspace isolation. Its review and CCO sign-off workflows also give compliance teams a consistent way to finalize and maintain meeting records.

Still not sure if the software is right for you? Contact us at (661) 384-7070, and we will help you make the best decision regarding ComplyVault features and more.