Case Study: Washington Wealth Management achieves SEC compliance and centralized archiving with Erado

Washington Wealth Management - Customer Case Study

Washington Wealth Management, a California-based hybrid RIA with 24 advisors and nearly $1 billion in assets under advisement, needed to meet SEC oversight requirements to retain and own its electronic records and centralize archiving and supervision. The firm selected Erado—initially deploying the Erado Elements email archiving service—to address these compliance and record-ownership challenges.

Erado implemented unified archiving across email, social media and web, provided hosting that allowed Washington Wealth Management to own its archives, and built a custom public-facing site for easy onboarding. With Erado, the CCO can survey 5% of daily emails, run systematic reports, annotate findings and catch issues early; the firm now meets SEC requirements, avoids potential fines and reputational risk, simplified organizational transitions, and saved time and costs while freeing staff for revenue-generating work.

Washington Wealth Management

Serena Kokka

Chief Compliance Officer