Archive Intel, an AI-powered communications compliance platform for financial institutions, has partnered with Zocks, the privacy-first AI platform for financial services, to launch an integration aimed at simplifying how wealth management firms review and store data generated by AI notetakers.
Under current SEC and FINRA rules, output produced by AI notetakers is treated as an electronic client communication, meaning firms are obliged to review and keep hold of such records for a period of five years. The new integration is designed to help firms meet this requirement by allowing information captured through Zocks to feed directly into Archive Intel, where it is examined for context, checked against compliance standards, and stored in a way that keeps it accessible for audits.
Archive Intel is making the integration available to its client base at $12 per user, per month.
Archive Intel positions itself as a compliance system purpose-built for firms regulated by the SEC and FINRA, bringing together archiving and supervision of client communications, review of AI-generated marketing material, broader compliance oversight and trade monitoring within a single system. It covers communication channels spanning text, email, chat, social media, AI chat tools, AI notetakers and the web, using contextual AI to flag risks against current rules while keeping compliance staff involved in final decisions.
Zocks, meanwhile, describes itself as an agentic AI platform built for financial advisers and firms, designed to save advisers upwards of ten hours weekly by handling routine tasks and converting client conversations, emails and documents into structured data linked to a firm’s wider technology systems.
Archive Intel founder and CEO Larry Shumbres said, “Archive Intel gives Zocks users a secure way to capture, review and retain data from their AI assistant. This integration addresses that need by helping wealth management firms strengthen compliance oversight, organize critical records and reduce the risk of costly violations.”
Zocks co-founder and CEO Mark Gilbert said, “Managing compliance across a growing number of client communication channels is a significant challenge for wealth management firms.
“By integrating with Archive Intel, we are giving firms a more efficient way to review and retain AI-generated records as part of their existing compliance workflows.”
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