For Broker-Dealers

Built for Broker-Dealers Who Refuse to Compromise

Regulations shouldn't slow you down. Hadrius unifies every element of supervision — from communications to employee oversight — so your compliance program runs faster, cleaner, and audit-ready.

19+ hrs
Average time saved each week, per user.
70%+
Reduction in manual review time.

Hadrius is compliance software built for broker-dealers. It consolidates FINRA supervision — communications review, trade surveillance, marketing review, and employee oversight — into one platform, using AI to route the highest-risk items to supervisors and to keep a complete, timestamped record that can be produced instantly for a FINRA exam.

One platform, without the fragmentation

Broker-dealers juggle complex supervision under FINRA regulations, usually across a patchwork of disconnected tools. Hadrius automates and consolidates your entire supervisory framework, giving broker-dealers the precision, speed, and documentation needed to demonstrate full compliance — without the manual burden and without stitching systems together.

Modern supervision for a modern FINRA framework

The platform is designed around how supervision actually works at a broker-dealer — high volume, many channels, distributed reps, and an examiner who will ask for evidence.

Minimize supervisory time across high-volume channels
AI routes and prioritizes the highest-risk trades, communications, and marketing materials so supervisors rapidly address real issues while rep workflows remain uninterrupted.
AI-driven accuracy for FINRA-aligned surveillance
The platform flags suitability concerns, promissory language, Reg BI red flags, off-channel activity, inappropriate recommendations, and trade-pattern anomalies — with greater precision and fewer false positives.
Effortless FINRA exam readiness
Every review, escalation, approval, and remediation is timestamped and archived — creating a complete supervisory record that can be produced instantly for FINRA exams, sweeps, or inquiries.
Scalable supervision for distributed rep networks
Hadrius supports multi-branch supervision, OSJ structures, and large rep populations with unified oversight and enterprise-grade consistency across every communication and trading channel.

Compliance you can prove. Results you can measure.

Hadrius delivers the precision, automation, and defensibility needed to meet FINRA obligations — without the burden of legacy tools and cumbersome processes.

Precision oversight
Intelligent automation ensures accuracy across every supervisory activity.
Speed to compliance
Deploy in weeks and cut manual review times by 70% or more.
Built for FINRA
Configured to your firm's structure and supervisory control framework.
Secure by design
Zero-data-retention architecture protects every communication, review, and record.

What firms say

"We finally have a compliance system that will help us grow and simplify our next SEC audit. Hadrius is the 3rd compliance 'system' we have utilized in the last 3 years, and it will be the last."

Raymond Gettins, Director, United Advisor Group

Understand the rules behind the supervision

Every capability above maps to a specific FINRA or SEC obligation. These plain-language guides explain what each rule requires and how firms evidence compliance:

Supervision
FINRA Rule 3110
The supervision rule — supervisory systems, written supervisory procedures, communications review, and branch inspections.
Recordkeeping
FINRA & SEC-Compliant Archiving
Retaining email, text, and chat under SEC Rule 17a-4 and FINRA Rule 4511 — the records that evidence your reviews.
Marketing
SEC Marketing Rule 206(4)-1
How advertising, testimonials, and performance must be handled — the marketing materials your supervisors review.

Stronger compliance starts here

Supervise everything. Expose nothing. See why broker-dealers choose Hadrius as the last compliance system they'll need.