Alpha Architect Stays SEC Compliant With Smartsheet

To compete with large global organizations in the asset management industry, Alpha Architect had to work smarter. Finding Smartsheet to manage workflow, ensure compliance and reduce overhead became the company’s competitive advantage.

Avg. read time: 3 min


  • Financial Services

Organization Size

  • Emerging and SMB (1-199)


  • North America

"With Smartsheet, we have built a world class compliance program that is more robust and effective than any competitor on the market. Ninety percent of our compliance costs are eliminated, but more importantly, we have a best-in-class compliance program that can go toe to toe with any Wall Street compliance program."

Wesley R. Gray

CEO/CIO of Alpha Architect

Asset management firm Alpha Architect handles approximately $300 million for customers across the globe. In an industry where you’re competing against billion dollar companies, getting ahead requires operating as efficiently as possible and technology plays a pivotal role in giving them a competitive advantage.

Being cheaper than their competition wasn’t enough; Alpha needed to do business in a revolutionary way and they set out to find a solution that would help to reduce overhead costs and manage operational workflows, while being simple to use and able to support an auditable trail of compliance activity.

Founder Wesley Gray and his team chose Smartsheet to manage and streamline multiple operational workflows including SEC compliance, customer relationship management (CRM), and their trading calendar.

One Source of Truth

Alpha needed a way to track SEC compliance requirements and ensure no detail was left undone. With a master compliance calendar they’re able to manage their entire database of regulation filings, notices, and updates in one location. And, by including a System Column in the calendar, the team is able to track the timestamp of inputs and know exactly when tasks are completed.

By using Smartsheet for compliance, Alpha eliminated large amounts of paper waste, as well as the need to hire corporate lawyers to manage the process, saving nearly $300,000 annually. And they’re able to meet government regulations without having to hire two additional headcount.

Automate the CRM Process

Alpha has a Smartsheet web form set up on their website to collect sales and marketing leads. These leads are managed on one sheet and are assigned to the appropriate team member. CRM is managed through Smartsheet with MailChimp, so emails are sent out to potential clients. There is no need to run expensive email campaigns because the integration with Smartsheet automates and enhances marketing efforts.

Ensure Proper Follow Up

Automated daily reports are sent to individual team members listing the leads that they are responsible to contact. Once they’ve contacted the lead, they are able to update the status within the underlying sheet, directly from the report.

Stay on Track with Alerts

Alpha Architect needed to keep track of trades and receive alerts when there are any changes made. With Smartsheet, the team is notified whenever changes are made, so they can immediately take action.

Managing Operations at Scale

As Alpha Architect looks to take on more clients and manage more trades, they are confident that Smartsheet will continue to scale with them.

“The beauty about Smartsheet is that we have a 100% scalable platform,” says Patrick R. Cleary, COO/CCO. “We could add three to four zeros behind the money we manage and we wouldn’t have to hire more staff, attorneys, office space – Smartsheet will do that scaling for us.

For a company looking to create a competitive advantage, the ability to scale without increasing overhead costs makes all the difference.