Compliance for
the Engagement Engine
Habits is SOC 2 Type II certified. No data sharing, no CRM integration, no special approval required.
How the Engagement Engine Works With Compliance
The Engagement Engine gives you research and custom messages you decide to use, change, or send, which is why hundreds of firms use it without special exception.
No Data Sharing
You don't upload your client list or connect your contacts. The Engagement Engine uses public, licensed, and proprietary marketplace data to research the people and companies you search for.
No CRM Integration
The Engagement Engine doesn't connect to your CRM or firm systems. There's nothing to sync, install, or configure, so you can get started right away.
No Apps to Approve
You decide what to use, make any changes, and send the message yourself. You already had access to this type of research. The Engagement Engine just helps you do it faster, with better sources.
SOC 2 Type II
Certified
Habits has achieved SOC 2 Type II certification - an independent, third-party audit of our security controls, data handling practices, and operational processes. This is the gold standard for SaaS platforms handling sensitive financial and personal data.
Security
Systems are protected against unauthorized access, both physical and logical. Our controls cover access management, encryption, network security, and incident response.
Availability
The platform is available for operation and use as agreed. We maintain uptime commitments and monitor system performance continuously to ensure advisors and consumers have reliable access.
Confidentiality
Information designated as confidential is protected as committed. This includes advisor data, consumer data, and any financial information processed through the platform.
How We Handle Your Data
Consumer and advisor data is stored, processed, and protected in accordance with our SOC 2 Type II certified security controls and applicable privacy law.
Data Storage
All consumer and advisor data is stored on encrypted, access-controlled infrastructure. Data at rest is encrypted using AES-256. We do not store sensitive financial account data or investment portfolios on our platform.
Data Processing
Data is processed solely to generate the research and outreach content the Engagement Engine gives you. We never sell your data or prospects' data, and nothing is sent on your behalf without your review.
Access Controls
Platform access is controlled through role-based permissions, ensuring each user only has access to the information relevant to their role. You see only your own research and message history, while internal access to user data is strictly limited, logged, and monitored.
Incident Response
We maintain a formal incident response plan that is tested and reviewed regularly as part of our SOC 2 obligations. In the event of a data incident, affected parties are notified in accordance with applicable law.
Third-Party Vendors
We vet and contractually bind all third-party service providers who handle Habits data to equivalent security standards. This includes our payment processor, background check provider, and cloud infrastructure partners.
Privacy Policy
Our full Privacy Policy details what data we collect, how it’s used, how long it’s retained, and how users can request deletion or correction. The Privacy Policy is accessible from every page of the platform.
Disclaimers
The following disclosures are required by applicable regulation and are provided for full transparency to platform users, advisors, and their compliance departments.
Habits, Inc. helps prospective investors find third-party investment advisory services. Habits, Inc. does not recommend the selection or retention of any adviser. Habits, Inc. provides options for the user to select based on user responses and preferences. In no event shall Habits, Inc.’s providing of a name constitute a recommendation or opinion as to the quality or appropriateness of the investment adviser or their services.
Investment advisers that appear on this Website pay a fee to Habits, Inc. The contents of this Website are for informational purposes only and are not intended to serve as the basis for any financial decisions. Information contained on this Website should not be construed as personalized investment advice or legal advice. Use of this Website does not create a professional relationship between the user and Habits, Inc.
Third-party links and resources are provided for convenience only. Habits, Inc. does not recommend or endorse the contents of the third-party sites and is not responsible for the accuracy, legality, or content of any third-party site.
To maintain a verified listing on this Website or Application, a financial firm or financial professional must pay a subscription fee to Habits Inc. Habits Inc. is not a client of any firm or advisor listed on this Application. Fees are not specifically payable in consideration of any “endorsement”.
Habits Inc. “endorsements” are conferred based on standardized and automated factors without regard to any financial firm’s compensation to Habits Inc. However, the compensation paid by a financial firm or financial professional to Habits Inc. creates a material conflict of interest of which prospective clients of a financial firm should be aware.
Habits, Inc. does not provide and does not intend to provide investment or legal advice through this Website. Information contained on this Website is for informational and educational purposes only. Third-party links and resources are provided for your convenience, and have not been independently verified by Habits, Inc.
Habits, Inc. is not responsible for the accuracy or viability of the information or services offered through third parties. Inclusion of links to third-party content is not an endorsement by Habits, Inc. of such content or services. Use your discretion. Habits, Inc. does not manage client funds or hold custody of assets. We help users connect with financial advisors.
Common Questions
Answers to the questions we hear most from advisor compliance departments and enterprise RIA firms.
Need more detail? Contact us and we’ll walk through your specific requirements.
Yes. Habits has achieved SOC 2 Type II certification, which involves an independent third-party audit of our security controls, data handling procedures, and operational processes over an extended review period. This certification covers the Security, Availability, and Confidentiality trust service criteria. If your compliance department needs a copy of our SOC 2 report or attestation letter, please contact us.
No. You don't upload your client list or connect your contacts. The Engagement Engine uses public, licensed, and proprietary marketplace data to research the people and companies you search for - your own client relationships never leave your hands.
No. The Engagement Engine doesn't connect to your CRM or any other firm systems, so there's nothing to sync, install, or configure. It runs as a standalone research and messaging tool alongside whatever systems your firm already uses.
Most firms don't. Hundreds of firms already use the Engagement Engine without a special exception, since it doesn't share data, integrate with firm systems, or send anything automatically. If your compliance department wants to review it directly, contact us and we'll walk through how it works.
You do. The Engagement Engine gives you research and a custom message - you decide what to use, make any changes, and send it yourself. Nothing goes out on your behalf without your review.
Public and licensed information, proprietary data from our marketplace, and original content - the same type of research you already had access to. The Engagement Engine just gathers it faster and from better sources than doing it by hand.
Yes. Our subscription agreements do not include guarantees of leads, meetings, or outcomes, and we do not split revenue or sell leads. Pricing is a standardized flat fee, and no advisor can pay to promote or prioritize their profile over another.
Yes. Enterprise and larger RIA firms can request a copy of our SOC 2 Type II attestation letter or full audit report under NDA. Please contact us with your firm name and compliance contact details and we’ll arrange this directly.
Ready to see the Engagement Engine in action?
See how the Engagement Engine helps you research prospects and craft outreach, or review detailed pricing and what’s included.