Case Study: Northstar Financial Companies achieves SEC-ready, integrated client communications with Smarsh

Northstar Financial Uses Smarsh to Stay Connected to What Matters Most — Customers

Northstar Financial Companies, a 30+-year financial planning firm that recently moved from operating under a broker-dealer to an independent Registered Investment Advisor, faced the dual challenge of building a new compliance program during the COVID-19 shutdown while rapidly growing a seven-person team. Chief Compliance Officer Julia Randall needed a trustworthy, easy-to-use system that would capture client communications, integrate with existing tools, and meet SEC expectations so the firm could keep serving clients remotely.

Northstar chose Smarsh for its integrated archiving and email encryption (via Intermedia) and seamless connections to Outlook and the firm’s CRM, plus automated supervision policies and hands-on support. The platform now captures and monitors all employee communications, simplifies recordkeeping for audits, and runs quietly in the background so the team can focus on clients—giving Northstar a compliant, scalable foundation for growth.

Northstar Financial Companies

Julia Randall

Advisor and Chief Compliance Officer