Solutions · Financial services

Compliant
by default.

The CRM and outreach platform built for RIAs and financial advisors. FINRA/SEC archiving, supervisor workflows, and disclosure templates — without a $50k/yr archiving vendor on top.

Compliance · what’s included
FINRA · 17a-4

WORM archiving

Write-once, read-many storage for every email, SMS, and call recording. 7-year retention default; 99-year configurable.

FINRA · 2210

Supervisor review

Pre-send and post-send review queues. Approver routing, escalation, sampling. Audit trail per message.

FINRA · 3110

Disclosure templates

Pre-built footers for solicitations, advertising, and recommendations. Auto-applied by message type.

Workflow

Send. Supervise. Archive.

Every outbound message routes through your supervision rules first. Approved messages send. Everything — sent, received, edited — is archived to immutable storage in real time.

ArchivingReal-time, WORM, 17a-4 attested
Review queuePre-send · post-send · sampled
Custodian exportSchwab · Fidelity · Pershing
Audit trailPer-message, immutable, exportable
Supervision queue
2 pending · 1 flagged
Q2 outlook newsletterpending
M. Patel → 240 prospects·Solicitation
2m ago
Tour intro · Tustin Aveapproved
S. Cooper → Anderson Holdings·Marketing
14m ago
Reg D opportunity follow-uppending
D. Levin → 18 LPs·Solicitation
1h ago
Performance claim languageflagged
M. Patel · auto-flag·Recommendation
2h ago
CRM newsletter · weeklyarchived
System → all clients·Marketing
Yesterday
All reviewed messages WORM-archived
Customer · RIA

“We were paying Smarsh $48k a year just to archive the email our CRM was sending. Banu handles archiving and outreach in one tool. The compliance team signed off in two weeks.”

DS
Dana Shimoda, CFA
Chief Compliance Officer · Hartwell Wealth · $1.2B AUM
$48k/yr
archiving cost saved
2 weeks
to compliance approval
Why Banu vs. a generic CRM + Smarsh

One vendor. One audit trail.

The old way

CRM + Smarsh + sequencer + dialer

  • —Four vendors, four contracts
  • —$60–80k/yr typical spend
  • —Archiving lag means messages slip through
  • —Audit prep takes weeks of CSV wrangling
  • —Reps copy-paste disclosures manually
With Banu

One platform, one trail

  • Single vendor, single contract
  • Starts at $499/mo (Scale)
  • Real-time WORM archiving, no lag
  • Audit pulls in minutes, not weeks
  • Disclosures auto-applied by message type

Send your
first sequence
this week.

Free account, no credit card. Plans from $79/mo. Bring your domain or use one of ours. Cancel any month, keep your data.

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