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Zenith Capital Management

How Zenith Capital standardized enterprise scheduling compliance across 180 registered advisors

Zenith Capital Management is a registered investment advisory firm providing institutional wealth management, fiduciary retirement plans, and private family office services.

Industry
Financial Services & Advisory
Team
180 financial advisors & compliance reviewers
Based in
Charlotte, NC & New York, NY
Rolled out in
4 weeks
SAML SSO & audit compliance score
100%FINRA-compliant scheduling across 180 registered financial advisors with zero policy exceptions
  • 100%FINRA audit complianceComplete retention of client communication disclaimers and meeting recordings metadata
  • 180Registered financial advisorsProvisioned and governed automatically through Okta SAML Single Sign-On
  • 0Unauthorized external linksCentralized control preventing unapproved third-party booking apps across the firm
01

The scheduling problem at Zenith Capital Management

Individual financial advisors had begun setting up unauthorized, ad-hoc scheduling tools with personal credit cards, violating SEC record retention rules and exposing customer communications to compliance penalties.

  • Unsanctioned consumer scheduling tools used across multiple regional advisory branch offices
  • Absence of required FINRA disclosures and legal disclaimers on advisor appointment pages
  • IT unable to deprovision access immediately when advisors departed the firm
Compared against: Annual regulatory risk and cybersecurity assessment
02

What Zenith Capital Management set up in Caletus

Zenith deployed Caletus enterprise tier with Okta SAML Single Sign-On, enforcing mandatory compliance disclosures and centralized admin governance across all 180 advisors.

  • Okta SAML 2.0 Single Sign-On & SCIM provisioning
  • Mandatory firm-wide legal disclaimer templates
  • Centralized administrative role-based access control
  • Comprehensive audit logging export for compliance archives
Rollout
  1. Week 1
  2. Week 2
  3. Week 3
  4. Week 4 · live
Zenith's IT and compliance teams provisioned accounts for all 180 advisors via Okta in under a month. Global booking templates were locked to enforce required FINRA disclosures, preventing individual modification while allowing personal availability customization.
03

The results at Zenith Capital Management

Shadow IT scheduling was 100% eliminated, regulatory audits passed with zero infractions, and advisor provisioning was automated into employee onboarding.

  • Unsanctioned scheduling tool usageHow: Corporate IT network security and expense auditReduced from 42 separate consumer accounts to zero across all branches
  • Regulatory disclaimer complianceHow: External FINRA compliance simulated audit100% compliance across 100 sampled advisor booking pages
  • Deprovisioning execution speedHow: IT offboarding security log auditsDeparting advisor access terminated in < 60 seconds via Okta SCIM
Financial advisory firms face strict regulatory oversight on every client touchpoint. Caletus provided enterprise Okta SAML integration, standardized legal disclaimers on every booking link, and central admin oversight that satisfied our Chief Compliance Officer.
Patricia HollowayPatricia HollowayChief Compliance Officer, Zenith Capital
If you remember three things

What other teams can learn from Zenith Capital Management

  1. Enterprise wealth management requires centralized administrative controls over legal disclaimers and meeting types.
  2. SAML SSO and SCIM automation prevent unauthorized access and close dangerous offboarding security gaps.
  3. Giving advisors an official, polished scheduling platform eliminates the demand for risky shadow IT tools.

The Caletus features Zenith Capital Management used

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