Case Study: EP Wealth Advisors achieves scalable, future-proof compliance with Smarsh

How EP Wealth Advisors Scales Compliance with Smarsh

EP Wealth Advisors is a national RIA managing over $31 billion in client assets with dozens of offices and an acquisition pace of nearly one firm per month. As the firm scaled, its legacy archiving provider proved unable to meet SEC requirements efficiently — the clunky UI, weak search and reporting, and excessive data extraction costs made supervision slow, costly, and not scalable for rapid growth.

EP Wealth moved to Smarsh Professional Archive, gaining a centralized, user-friendly platform that captures email, social, collaboration tools (Teams, Zoom), and more. The switch improved search and reporting, streamlined branch onboarding, reduced manual review effort, and let the compliance team focus on strategic work; Smarsh’s scalability and emerging AI capabilities have helped the firm stay regulator-ready as it grows.

EP Wealth Advisors

Mario Chilin

Chief Compliance Officer & Partner