Marloo for broker-dealers
Give your home office a clearer view.
Give reviewers access to the client work they oversee, keep records in your firm’s archive, and give advisors one place to run their practice.
- SOC 2 Type IISecurity, availability, and confidentiality
- “Very Good”Aphore Cyber Assurance Risk Rating
- SAML single sign-onAvailable for Enterprise
Share one standard across linked practices
Set who can see a client record and give linked practices the same approved templates.
Scope reviewer access by client or advisor group.
Use Review Mode to trace draft statements back to their sources.
Books and records
From the client file to your firm’s archive
Build the client file
Keep meeting notes, captured conversations, and documents on the client timeline.
File in your archive
Export notes and documents. Agree how other required records reach your firm’s archive.
Retrieve retained records
Use the client timeline for context and retrieve retained originals from your archive.
Choose what audio you keep
Set how long to keep recorded audio. Use notes or a transcript when audio shouldn’t be stored.
Calling and SMS filing
Keep captured calls with the client record. File business texts in your firm’s approved SMS archive.
Run the practice from one client record
Bring households, meetings, emails, files, holdings, and tasks together so your advisors and support team can pick up the client’s work.
Draft investment policy statements and review packs in your templates, fill account forms, and assign follow-ups.
Bring across your existing client records with migration support. Admin and support seats are free.
Relationships and integrations
Connect the systems your firm uses
Morningstar ByAllAccounts
Bring authorized holdings into the client record from more than 120 custodians.
The tools your teams already use
Connect email, calendars, meetings, and files. Send documents for signature with DocuSign.
Security and auditability
What your team can review
Auditability
Review earlier versions of documents and meeting summaries where enabled. Shared templates show who last updated them and when.
Identity and access
Enforce company MFA. Enterprise options include SAML sign-on and IP allowlisting for managed networks.
Data protection
AES-256 at rest and TLS 1.2 or 1.3 in transit. Client data is never used to train AI models.
Independent testing
Review our independent penetration testing and Google Cloud Application Security Assessment alongside our SOC 2 report.
Questions, answered
Linked practices can use the shared meeting and document templates. The home office manages changes to the shared versions.
Advisors work from the client timeline in Marloo and can export notes and documents. We review which recordings and transcripts you need to export and how they reach your firm’s archive.
Yes. Keep recording off and work from meeting notes or a transcript. If you do record meetings, you can set how long the audio is kept. We scope custom Enterprise retention with your team.
The Marloo Trust Center lists our controls, subprocessors, SOC 2 Type II report, and Aphore assessment. Your team can request the reports there.
