Guarded watches your client meetings, emails, and regulatory calendar — so you can focus on clients, not compliance paperwork. Built for the 300,000+ advisors who can't afford a $200K compliance team.
Independent advisors and small RIAs have the same compliance obligations as trillion-dollar firms — but none of the infrastructure. The tools exist for institutions, not for solo practitioners.
A full-time compliance officer runs $150K–$300K/year. Existing software is built for big banks — bloated, expensive, complex, and designed for teams, not solo advisors who wear every hat.
SEC's 2026 Examination Priorities flagged AI tools as a key risk area. FINRA's enterprise initiative signals the same. Every advisor using AI is under a microscope — even if they're doing everything right.
Drop in a transcript or meeting notes. Guarded extracts key decisions, captures fiduciary language, logs the client relationship, and files it in your audit archive. Done before you've finished your coffee.
Before you hit send, Guarded scans your emails and client proposals for SEC/FINRA risk language — forward returns, guaranteed outcomes, unsuitable recommendations. Flags it, suggests the fix, moves on.
SEC, FINRA, and state regulators change rules constantly. Guarded tracks the updates that apply to your firm and tells you exactly what needs to change in your policies, disclosures, and client communications.
When the SEC comes calling — or your custodian does — you need documentation fast. Guarded generates audit-ready reports in seconds, covering client meetings, email review history, policy attestations, and trade surveillance logs.
Ask Guarded anything: "Does this language comply with Reg BI?" "What disclosures do I need for this strategy?" "What changed in the SEC's 2026 exam priorities?" Instant, grounded, defensible answers — with citations.
Unlike a quarterly review or a compliance consultant you call when things go wrong — Guarded is in your workflow continuously. It sees what you see, flags what needs flagging, and documents everything automatically.
Link your email, calendar, and meeting transcripts. Guarded reads your world — without asking you to change how you work.
It maps your client types, strategies, and disclosure obligations — building a compliance profile specific to your firm, not a generic template.
From day one, Guarded documents everything, flags risks before they leave your outbox, and maintains your audit trail continuously. You focus on clients. It handles the rest.
"Compliance shouldn't require a compliance officer. The independent advisor who serves the client who can least afford a full legal team — that advisor deserves the same protection as the institution. That's why we built Guarded."
Early Access
Independent advisors and small RIAs go first. We onboard in cohorts — tell us about your practice and we'll be in touch.
No spam. No sales calls unless you ask. We'll reach out when your cohort opens.
Guarded keeps independent advisors and small RIAs compliant — automatically, continuously, and at a fraction of the cost of a compliance officer. Built SEC/FINRA-aligned from day one. Zero data retention on AI interactions. Audit-ready every day of the year.