Case Study: Total Wealth Advisors passes SEC exam with zero follow-up questions with MirrorWeb

Total Wealth Advisors passes SEC exam with zero follow-up questions using MirrorWeb

Total Wealth Advisors, a registered investment advisor, faced a significant challenge in properly capturing and archiving advisor-client text messages, particularly iMessages, to meet SEC compliance standards ahead of an upcoming examination. This gap in their communications archiving was a known industry weak point that created both regulatory risk and practical business problems. To solve this, they turned to the archiving solutions from MirrorWeb.

MirrorWeb implemented its native iMessage capture to close the compliance gap directly. The solution was enhanced by its Trusted Contacts feature for separating business and personal messages and its Sentinel AI to drastically reduce review time. The result was that Total Wealth Advisors passed their SEC exam, which included 64 questions on their archiving program, with zero follow-up questions from examiners. MirrorWeb's platform also provided a measurable day-to-day impact, cutting their review time by 60-70% and eliminating compliance anxiety around mobile communications.

Total Wealth Advisors