Case Study: Gitterman & Associates achieves streamlined compliance and paperless efficiency with Laserfiche

Gitterman & Associates - Customer Case Study

Gitterman & Associates is a dually registered RIA and broker-dealer founded in 1990 that has grown to 25 employees managing roughly $225M (RIA) and $400M (BD) in assets. Growth—and dual FINRA/SEC compliance requirements—left the firm struggling with paper records, a bulky legacy ECM that staff wouldn’t use, and costly, space-consuming file storage.

By deploying Laserfiche Avante with a reseller-guided implementation, the firm automated document capture, applied metadata-driven retention and folder segregation for RIA/BD compliance, and set permissions and approval workflows for its CCO. The change reclaimed file-room space, reduced paper and storage costs, sped approvals (even remotely), simplified audits, and achieved strong user adoption across HR, client files and compliance.

Gitterman & Associates

Marcy Gitterman

Director of IT & HR