RIAs manage large volumes of sensitive client information every day. With strict regulatory requirements, you need a secure and organized way to handle documents. The right financial document management software can help your firm stay compliant and running smoothly.
In this guide, you’ll find a list of the top financial document management software for RIAs. We’ll cover the main features, security tools, and integrations, so you can choose the best fit for your business.
A strong document management platform gives you a safe place to store and organize client records. It also helps you create custom reports and keep up with compliance needs.
The tools in our list offer these benefits and more. Here’s what each platform can do for your firm. All pricing details are current as of August 2025.
AdvisorVault focuses on helping firms meet the electronic records archiving requirements of the SEC Rule 17a-4 and FINRA compliance. It lets you manage data compliance, archiving, and supervision of records, emails, and other systems from one platform. The platform works with both in-house and cloud storage. AdvisorVault is designed specifically for RIAs and small financial firms.
Key document management features:
Other key features:
security and compliance: built-in WORM compliant storage meets SEC rule 17a-4 and FINRA standards; automated reports and alerts help firms stay audit-ready; D3P service included for third-party oversight
integrations: supports integration with Microsoft 365, Google Workspace, and other cloud platforms; compatible with in-house servers, desktops, and mobile devices
pricing: available on request; free demo; pay-as-you-grow licensing model
Box is a popular document management software for various industries, including financial services. The platform helps RIAs organize, store, and manage documents securely in the cloud. Advisors can use the platform to automate workflows, collaborate with others, and protect sensitive data using AI-powered tools.
Key document management features:
Other key features:
security and compliance: advanced data protection tools help you detect, prevent, and recover from threats; built-in compliance for regulations like FINRA, SEC, and GDPR; Box Trust Center provides transparency on security and privacy practices
integrations: more than 1,500 software integrations, including Microsoft 365, Google Workspace, Salesforce, DocuSign, Slack, and Zoom
pricing: $17.30 per user monthly for Business plan, $28.70 per user monthly for Business Plus plan, $40.30 per user monthly for Enterprise plan, $57.50 per user monthly for Enterprise Plus plan, all billed annually, minimum of three users; free 14-day trial
Financial document management platforms are a key part of a strong RIA tech stack. Find out how to build one in this guide.
Docupace is a financial document management software designed for RIAs and wealth management firms. The platform helps digitize and organize your back office, so you can reduce manual work, cut errors, and stay compliant. You can manage documents, automate workflows, and access records securely from anywhere, all in a cloud-based platform built for regulated environments.
Key document management features:
Other key features:
security and compliance: government-grade encryption protects sensitive data; built-in compliance with SEC and FINRA rules; role-based access, audit trails, and D3P support help RIAs stay audit-ready and secure
integrations: more than 20 software integrations, including leading CRMs for RIAs like Salesforce, Redtail, Wealthbox, SmartOffice, and Practifi; supports major custodians such as Schwab, Fidelity, Pershing, and TD Ameritrade
pricing: custom pricing; free demo
Many financial services and wealth management firms, including RIAs, turn to Egnyte for their document management needs. The software helps you organize, share, and protect sensitive content in a secure cloud platform. It also boasts tools that allow you to streamline document workflows, access AI-driven insights, and maintain compliance with industry regulations.
Key document management features:
Other key features:
security and compliance: policy-driven lifecycle management helps you meet SEC and FINRA regulations; advanced protection including granular access controls, audit trails, and ransomware detection; built-in tools make compliance reporting easier
integrations: more than 100 software integrations, including Salesforce, Practifi, Orion, Microsoft 365, Google Workspace, DocuSign, and Slack
pricing: $22 per user monthly for Business plan, $38 per user monthly for Enterprise Lite plan; $46 per user monthly for Elite plan, custom pricing for Ultimate plan, all billed annually; free 15-day trial
If you’re looking for a FINRA-compliant client management software, this guide can give you options.
Finity360 Docs, from Arcus Partners, is built for financial institutions, including broker-dealers, wealth managers, and advisory firms. This financial document management software is a native Salesforce app that helps you digitize, organize, and secure your business documents and data. You can manage files, automate compliance, and access records from anywhere using your firm’s own secure AWS storage.
Key document management features:
Other key features:
security and compliance: meets SEC, FINRA, and CFTC retention guidelines; WORM storage prevents modification or deletion; audit trails and OFAC checks help you stay compliant and ready for audits
integrations: native integration with Salesforce; around a dozen other integrations, including DocuSign, Redtail, SmartOffice, Wealthbox, and other Salesforce-connected apps
pricing: custom pricing; free demo
Laserfiche centralizes files and uses a folder-based interface to help teams find information quickly. You can automate document capture, routing, and approvals to make it easier to manage content and track processes from start to finish. The tool also supports collaboration and helps improve compliance with built-in governance and workflow tools. It is among the most popular financial document management software used by wealth managers and RIAs.
Key document management features:
Other key features:
security and compliance: detailed audit logs and granular user controls help you manage access; automated retention policies and classification support compliance with industry regulations
integrations: more than 100 software integrations, including Microsoft 365, DocuSign, Salesforce, SAP, Oracle, and QuickBooks
pricing: $50 per user monthly for Starter plan, $69 per user monthly (minimum five users) for Professional plan, $93 per user monthly (minimum 25 users) for Business plan, all billed annually; free demo
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ShareFile offers tools to help RIAs and other financial firms automate document workflows, simplify client collaboration, and support compliance needs. You can use secure client portals, manage document requests, and collect digital signatures to keep your work moving and improve client experiences.
Key document management features:
Other key features:
security and compliance: end-to-end encryption protects sensitive documents; set granular permissions for files and folders; SEC and FINRA compliance support available in select plans
integrations: more than 20 software integrations, including Microsoft 365, Google Workspace, Salesforce, QuickBooks, and DocuSign
pricing: $16 per user monthly (minimum of three users) for Advanced plan, $25 per user monthly (minimum of three users) for Premium plan, $41.67 per user monthly (minimum of three users) for Industry Advantage plan, $67.50 per user monthly (minimum of five users) for Virtual Data Room plan; free 30-day trial
SideDrawer offers a financial document management software solution designed for RIAs and large wealth firms. The platform serves as a scalable digital vault that centralizes file storage, streamlines data collection, and supports secure client access. It also offers multiple integration options and helps firms improve efficiency, compliance, and security.
Key document management features:
Other key features:
security and compliance: enterprise-grade security with built-in virus and malware scanning; supports segmented storage and complex identity management; reduces email risk by centralizing document sharing and access
integrations: more than 10 integration options; supports APIs, iFrame, SSO, SAML, and connects with ECMs, on-premises storage, and Zapier-like tools
pricing: $16 per user monthly (minimum three users) for Standard plan, $28 per user monthly (minimum three users) for Premium plan, $40 per user monthly (minimum five users) for Business plan, all billed annually; free demo and 14-day trial
Check out our Best in Wealth Special Reports page to get to know the industry’s most reliable and respected leaders, including the top software and technology providers.
When searching for an effective document management platform, the first step is listing your firm’s compliance requirements and workflow needs. Look for tools that offer SEC and FINRA compliance support, audit trails, and secure cloud storage. Make sure the platform integrates with your existing CRM, custodians, and other core systems.
User experience is just as important as security. Choose a platform with an intuitive interface, easy onboarding, and strong client portal features. Check if the solution offers customizable folder structures, automated workflows, and mobile access to keep your team productive.
Compare pricing plans, free trial periods, and support options before making a decision. This list is far from being exhaustive; there are dozens of other financial document management platforms in the market, and the best solution depends on your firm’s unique needs. Always review your options and test platforms to see which fits your business best.
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