A compliance-grade audit trail, kept automatically
Examiners want a defensible record of who did what, when. Prism captures it as you work — no spreadsheets, no after-the-fact reconstruction.
Updated 2026-05-30 · Prism Advisor Workspace
Every meaningful action, logged
Sign-ins, plan changes, client updates, and report generation are recorded with the actor, timestamp, and a human-readable summary. The trail is append-only and reviewable from an admin view.
Designed around the retention rules
Prism is built around the record-keeping principles of SEC Rules 17a-3 and 17a-4: an append-only trail, immutable profile versioning that preserves prior states of a plan for point-in-time review, and a daily write-once (WORM-style) archive that makes historical records tamper-evident. Production use with live client data additionally calls for object-lock archival storage and your firm's own regulatory review — see our security overview for the current posture.
Why it matters
Exam readiness — produce a clear history on request instead of scrambling.
Internal oversight — firm admins can review activity across advisors.
Client trust — changes are attributable and reversible to a known prior state.
Frequently asked questions
Does Prism support SEC 17a-4 record retention?
Prism keeps an append-only audit trail and a daily write-once (WORM-style) archive designed to align with SEC Rule 17a-4 retention expectations, plus profile versioning for point-in-time review.
What activity does the audit trail capture?
Sign-ins, plan and client changes, and report generation are logged with the actor, timestamp, and a readable summary, reviewable from an admin view.
See it before you sign up.
Open a fully populated demo workspace — no account required.