Who We Are

Our Mission, Vision
& Core Values

We exist to empower broker-dealers, investment advisers, digital asset firms, and FinTechs with innovative, AI-accelerated compliance solutions that enable their success in a dynamic regulatory environment.

01 — Mission
What We're
Here to Do

To empower startups and growth-phase broker-dealers, investment advisers, digital asset firms, and FinTech companies with innovative, efficient, and compliant solutions that enable their success in a dynamic regulatory environment.

02 — Vision
Where We're
Headed

To be the leading provider of expert fractional consulting services and AI-driven compliance software solutions — powering the next generation of regulated financial firms with technology that eliminates compliance busywork at scale.

Our Values

The principles behind everything we build

Adaptable
Adaptability

We continuously push the boundaries with cutting-edge solutions, ensuring our clients stay ahead of the regulatory curve as the financial landscape evolves.

Collaboration
Collaboration

The best solutions come from working together. We leverage diverse perspectives and foster inclusive partnerships that drive success for every client.

Continous Learning
Continuous Learning

Positioned as industry thought leaders, GiGCXOs delivers top-tier expertise backed by deep knowledge in financial regulation, compliance, and AI technology.

Efficiency
Efficiency

Our AI-enabled solutions can save up to 70% in compliance costs, maximizing value without compromising quality or regulatory defensibility.

Empowerment
Empowerment

We equip clients with the knowledge and tools they need to succeed — tailored solutions that meet specific needs with responsive, exceptional support.

Justice
Integrity

GiGCXOs adheres to the highest standards of ethical conduct, ensuring all solutions and advice align with regulatory requirements and moral principles.

Transparency
Transparency

We demystify complex compliance requirements, providing clear insights and straightforward guidance our clients can act on with confidence.

Trust
Trust

Clients rely on GiGCXOs to deliver on our promises. We build lasting relationships as trusted advisors for ongoing financial and regulatory needs.

Why GiGCXOs

The numbers
behind
the platform

70%
Reduction in compliance cost
burden via AI
19 hrs
Saved each week with
AI-driven workflows
$3.9K
Average annual savings
per user
90 days
FastTrack Registration Filings
Broker Dealer / RIA
3
Regulatory frameworks covered
SEC + FINRA + CFTC
5T+
AUM of client assets on
AI software platform
Why Choose GiGCXOs

See how GiGCXOs stacks up

Compare GiGCXOs against legacy providers across communications, employee oversight, firm controls, and modern compliance operations.

Features GiGCXOs Smarsh ACA Group StarCompliance Red Oak RegEd
Human Agents
Fractional CCOs and Staff ✓— ✓— ——
Broker Dealer / RIA / CFTC Registrations ✓— ✓— ——
Digital Assets Experts ✓— —— ——
Licensed Staff for Expanding Business Activities ✓— ✓— ——
Platform Experience
Modern Interface ✓— ✓— ——
Archiving & Comms Surveillance
Email Archiving ✓✓ ✓— ✓✓
AI-Powered Surveillance ✓✓ ✓— ✓—
Custom Enterprise AI Model ✓— —— ——
Keywords / Lexicon Surveillance ✓✓ ✓— ✓✓
Boolean Search ✓✓ ✓— ✓✓
Saved Search Queries ✓✓ ✓— ✓✓
Data Management & Integration
Data Export Fees NoNo NoNo NoNo
Email Hosting / Encryption Services ✓✓ —— ——
Multi-Channel Communications Capture
Business Social Media Archiving ✓✓ ✓— ✓—
Personal Social Media Archiving ✓✓ ✓— ✓—
SMS / Text Message Archiving ✓✓ ✓— ✓✓
iMessage Archiving ✓✓ ✓— ✓✓
WhatsApp ✓✓ ✓— ✓✓
Other IM / Chat (Slack, Teams, etc.) ✓✓ ✓— ✓✓
Bloomberg Chat Archiving ✓✓ ✓— —✓
Discord Archiving ✓— —— ——
Employee Compliance & Oversight
Personal Transaction Monitoring ✓— ✓✓ —✓
Certifications & Attestations ✓— ✓✓ ✓✓
Employee Disclosures (OBAs, Gifts, etc.) ✓— ✓✓ ✓✓
Conflicts of Interest Monitoring ✓— ✓✓ ✓✓
Firm Oversight
Firm Risk Assessment ✓— ✓— ——
Control Inventory ✓— —✓ ——
Testing Calendar ✓— ✓— ——
Compliance Manual & Policy Hosting ✓— ✓— —✓
Annual Compliance Reporting ✓— ✓— ——
Marketing & Conduct Oversight
Advertising / Marketing Submission & Reviews ✓— ✓✓ ✓✓
Smart Marketing Disclosures ✓— —✓ ✓✓
Guided Advisor Onboarding Workflow ✓— ✓— ✓✓
Trade Surveillance ✓— ✓— —✓
FINRA Gateway Integration ✓— —✓ ——

Ready to work with a firm that shares your values?

Schedule a free consultation and see how our AI-powered compliance platform can transform your program.

Schedule a Consultation Meet Our Team