Wealth Management Client Portal — KYC, Compliance & E-Signatures
Automate KYC document collection, compliance monitoring, and client communications. Built for SEC, FINRA, and state regulatory requirements.
Solve Your Biggest Compliance Challenges
Stop spending hours on manual document collection and compliance tracking
Chasing clients for KYC documents
Automated document requests with multi-channel reminders (Email, SMS, WhatsApp)
Manual compliance tracking
AI-powered compliance monitoring with automatic deadline alerts
Scattered client communications
Unified client portal with complete audit trail
Paper-based signature workflows
Built-in e-signatures with legal validity and automatic storage
Built for Financial Services
Enterprise-grade features tailored for wealth managers and financial advisors
Secure Client Portal
Bank-grade encrypted portal for client document access and uploads. Role-based permissions, 2FA, and complete audit logging meet SEC and FINRA requirements.
- 256-bit AES encryption
- Role-based access control
- Complete audit trail
Compliance Monitoring
Automated compliance tracking for SEC, FINRA, and state regulations. Document retention policies, deadline tracking, and proactive alerts keep you audit-ready.
- SEC/FINRA aligned
- Automated retention policies
- Real-time compliance alerts
E-Signatures
Integrated e-signature workflows for account openings, disclosures, and agreements. Legally binding signatures with timestamped audit trails.
- ESIGN Act compliant
- Timestamped audit trail
- Automatic document storage
KYC Document Collection
Streamlined Know Your Customer workflows with automated document requests, ID verification reminders, and expiration tracking for licenses and certifications.
- Automated ID requests
- Expiration alerts
- AML documentation support
Compliance Made Effortless
Stay audit-ready with automated compliance monitoring and documentation
Document Retention
Automated retention policies aligned with SEC Rule 17a-4 and FINRA requirements. Never worry about compliance violations.
Audit Trail
Complete, timestamped logging of all document access, modifications, and client interactions for regulatory examinations.
Expiration Tracking
Automatic alerts for expiring client IDs, licenses, certifications, and required disclosures. Stay ahead of renewals.
Access Controls
Granular role-based permissions with 2FA. Control exactly who can view, edit, or share sensitive client information.
Regulatory Updates
Proactive monitoring of regulation changes affecting document requirements and retention policies.
Multi-Jurisdiction
Support for varying state and international compliance requirements for wealth managers with diverse client bases.
Built for Your Workflows
Streamline every aspect of client document management
Client Onboarding
Streamline new account openings with automated document collection, e-signatures for disclosures, and secure ID verification workflows.
Annual Reviews
Automate annual review document requests, collect updated KYC information, and maintain compliant client records.
Regulatory Examinations
Generate comprehensive audit reports, demonstrate document retention compliance, and provide examiners secure portal access.
Team Collaboration
Multi-user access with role-based permissions for advisors, compliance officers, and administrative staff.
"XyloDocs transformed our client onboarding from a 2-week paper chase to a 3-day automated process. The compliance monitoring alone has saved us countless hours preparing for FINRA examinations."
Enterprise-Grade Security & Compliance
Ready to Streamline Your Practice?
Join wealth managers who trust XyloDocs for secure, compliant document management