Hadrius

Hadrius offers an AI-powered platform to automate SEC compliance for registered investment advisors (RIAs) and broker-dealers. The company's flagship product runs a suite of compliance tasks, including communications review, marketing review, archiving, and trade monitoring, using AI. Hadrius aims to streamline the entire compliance process through automation, enabling firms to save time and resources while ensuring ongoing regulatory adherence. 

The platform leverages advanced AI algorithms and natural language processing (NLP) capabilities to analyze various communication channels, such as emails, Slack messages, and social media posts. It can accurately identify and flag non-compliant language, expediting the review process for compliance teams. Additionally, Hadrius automates billing reviews, allocation reviews, and regulatory filings by seamlessly integrating with firms' existing compliance stack, such as customer relationship management (CRM) systems and trading platforms. 

As of August 2024, the company’s client base cumulatively accounted for over USD 200 billion in AUM. As of the same date, the company claimed that its clients had saved an average of over USD 36,000 in annual compliance costs.

Key customers and partnerships 

In July 2024, Hadrius partnered with Wealthtender, a digital marketing platform for financial advisors and wealth management firms. The collaboration resulted in the launch of ‘Testimonial Compliance Scanner,’ a product designed to help compliance and marketing teams ensure that advertisements meet SEC Marketing Rule requirements.