About Four Eyes Financial
Setting the Standard in Regulatory Oversight
Four Eyes Financial is the compliance workflow platform for independent brokers, wealth advisory firms and portfolio management firms regulated by CIRO, provincial securities commissions, FINRA and the SEC, unifying digital onboarding, KYC maintenance, trade surveillance, case management and client complaints on one connected data layer.
We help compliance teams move from manual, after-the-fact review to continuous oversight across the entire client lifecycle, so your firm can focus on growth.
Founded in 2015
SOC 2 Type II compliant
What We Do
Purpose-Built for Wealth Management Compliance
We build the compliance technology wealth management firms run on: 4ms for digital onboarding, KYC maintenance and bulk transitions, Risk7 for trade surveillance, plus Pre-Trade Analyzer, Product Shelf Management, Product Research & Point of Sale, Case Management, Client Complaints and CE Manager, all connected by one data layer.
We believe compliance should be a catalyst for growth — not a barrier.
That’s why we handle the complexity of staying compliant, so you can focus on scaling your business. Start with one module, add others as you grow, and keep every client record, review and decision in one audit-ready trail.
Every firm runs on its own dedicated, single-tenant cloud instance across multiple custodians and books of record, with alerts mapped to CIRO, FINRA and SEC obligations and to your firm’s written supervisory procedures.
Our Story
From Investor Insight to Industry Standard
Our journey began as an investor-focused portfolio tool and evolved into an industry-leading compliance platform. Because we understand the regulatory landscape from every angle, wealth management firms trust us to streamline their compliance operations.
2015
Founded
Founded by Lori Weir and Kendall McMenamon as a consumer-facing SaaS platform helping investors better understand their investments.
The Pivot
Built for compliance
In 2019, as regulatory complexity grew, we rebuilt our technology around the needs of wealth management firms.
2021
Independently verified
SOC 2 Type II compliance, verified by Aprio LLP. Security proven, not just promised.
Today
Award-winning regtech
Four-time Canadian Regulatory Technology Association (CRTA) award winner, including RegTech Company of the Year (2022), designed for North American regulators.
Our Name
The Second Set of Eyes
In wealth management, the four-eyes principle ensures no critical decision relies on a single individual. We built Four Eyes to modernize that standard. Acting as your digital second set of eyes, the platform continuously monitors accounts, trades, and transactions to surface critical exceptions with complete rationale. Your compliance team maintains total oversight, making every final decision backed by an exam-ready audit trail.
What We Believe
Guiding Principles
These guiding principles are the foundation of our success and guide us as we continue to grow and evolve. They shape our decisions, influence our actions, define who we are as an organization, and even who we hire.
Listen First
Seek to understand before being understood — with clients and co-workers alike.
Every Client Matters
Every client receives the same care and attention as our first.
Culture in Everything
Our culture shows in every division — in what we say, how we look, and what we do.
Always Improving
Experimentation and continuous improvement are a shared responsibility.
SOC 2 Type II Compliant
Award-Winning Technology
Built on a reliable, secure & proven foundation.
Since 2021: independently verified security, with SOC 2 Type II compliance audited by Aprio LLP
4x
Canadian Regulatory Technology Association
(CRTA) award winner
2x
Wealth Professional
Awards winner
