Archive Intel Partners With Zocks to Streamline AI Compliance Reviews

New integration enables users to capture, review and organize AI notetaker data seamlessly, in accordance with current FINRA and SEC regulations.

ALPHARETTA, Ga.--(BUSINESS WIRE)--Archive Intel, an AI-powered communications compliance platform for financial institutions, today announced an integration with Zocks, the privacy-first AI platform for financial services.

SEC and FINRA regulations treat records generated by AI notetakers as electronic client communications that firms must review and retain for five years. Through the integration, data from Zocks automatically flows into Archive Intel, which contextually reviews AI-generated transcripts and notes, flags potentially non-compliant language and archives the records for streamlined, audit-ready access.

“Archive Intel gives Zocks users a secure way to capture, review and retain data from their AI assistant,” said Larry Shumbres, founder and CEO of Archive Intel. “This integration addresses that need by helping wealth management firms strengthen compliance oversight, organize critical records and reduce the risk of costly violations."

Archive Intel clients can activate the Zocks integration through the Archive Intel platform for $12 per user per month. Once connected, the platforms automatically sync to capture, review and archive Zocks data.

“Managing compliance across a growing number of client communication channels is a significant challenge for wealth management firms,” said Mark Gilbert, co-founder and CEO of Zocks. “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.”

This partnership marks the latest addition to the firm's expanding ecosystem of integrations designed to modernize compliance by connecting with the everyday tools and platforms that financial advisors rely on.

For more information, visit archiveintel.com.

About Archive Intel

Archive Intel is an AI purpose-built compliance platform for SEC and FINRA regulated firms, bringing client communications archiving and supervision, AI Marketing Review, Compliance Oversight, and Trade Monitoring into one system. We capture, review, and archive business communications across text, email, chat, social media, AI chat, AI notetakers, and web. Our contextual AI automatically identifies compliance risks based on current regulatory rules, while our AI Marketing Review solution dramatically accelerates your approval workflows. Manage compliance oversight, attestations, codes of ethics, and trade monitoring all within a single, intuitive platform, keeping compliance teams in complete control with human-in-the-loop oversight.

About Zocks

Zocks is the privacy-first, agentic AI Platform for financial advisors and financial firms. Its AI assistant saves advisors 10+ hours a week by automating manual tasks and turning every client conversation, email, and document into structured data that’s deeply integrated with a firm’s technology stack and AI ecosystem. Advisors can build plans and onboard clients faster, find growth opportunities, anticipate servicing needs, and ultimately grow their business — all in a platform built with enterprise-grade compliance, reporting, and controls. More than 5,000 firms, including 6 of the 9 Barron’s Top Mega RIAs and 2 of the top 3 life insurance carriers, rely on Zocks, the #1 rated AI Assistant for Financial Services on G2. Learn more and start a free trial at zocks.io.