Case Study: Advisor Group automates video compliance and saves 3,300 hours per year with Theta Lake

Advisor Group Automates Video Conference Supervision And Audio / Video Pre-Review With Theta Lake

Advisor Group, a network of more than 10,000 registered representatives, adopted Zoom for client engagement but ran into regulatory obligations under FINRA Rule 2210 and an unmanaged surge in recorded meetings. Manual supervision workflows — involving uploads, downloads and roughly 100+ minutes of compliance time per recording — created compliance and storage risk, so Advisor Group turned to Theta Lake and its Theta Lake Risk and Compliance Suite to address the challenge.

Theta Lake integrated natively with Zoom to ingest recordings, apply AI-enabled detections with timeline pinpointing, provide a 17a‑4‑compliant archive, and automate routing and review workflows. As a result, Theta Lake streamlined supervision, saved about 3,300 hours per year (roughly two full‑time employees’ worth of work), reduced compliance risk through automated policy detection, and enabled Advisor Group’s advisors to more easily produce and supervise marketing and event content.

Advisor Group

Sean Mannello

Senior Advertising Analyst