Case Study: Lucien, Stirling & Gray Advisory Group achieves SEC compliance and rapid email retrieval with Smarsh

Lucien, Stirling & Gray Chooses Smarsh for Reliable Archiving

Lucien, Stirling & Gray is an independent, fee-only Registered Investment Advisor that needed to upgrade its email archiving to meet SEC requirements for retention, supervision, periodic review, and timely production of advisor–client communications. The firm wanted a reputable, widely adopted vendor that could reliably support regulatory requests and reduce time spent manually searching for records.

They implemented the Smarsh Professional Archive, giving them cloud-based capture, fast query and keyword search, conversation reconstruction, and easy production for regulators. As a result, the firm can quickly retrieve required emails for FINRA or SEC inquiries, enable ad-hoc supervisory reviews, and avoid dependence on physical backups or building integrity during emergencies.

Lucien, Stirling & Gray Advisory Group

Walter Wilson

Executive Vice President of Operations