The RIA compliance consultants worth your shortlist.

Red Oak leans on AI-assisted workflows to speed up advertising and marketing review, complaint handling, and other high-volume compliance tasks — without giving up accuracy. Its technology-forward approach has landed it on industry lists spotlighting RegTech and AI in fintech.

ACA pairs hands-on consulting with proprietary technology across regulatory compliance, cybersecurity, ESG advisory, and performance reporting. Its bench includes former regulators and career compliance specialists, and it serves everyone from emerging managers to large institutions.

Core Compliance concentrates on outsourced SEC compliance for advisers, broker-dealers, and private fund managers — including fractional CCO and deputy CCO engagements. Its team draws on deep regulatory backgrounds to help firms anticipate rule changes and get ahead of forward-looking risk.

RIA Compliance Group supports advisers from initial registration through day-to-day maintenance, staying in regular contact with state securities regulators on clients’ behalf. It also handles annual review obligations and offers Smart RIA software to streamline cybersecurity and program tasks.

Jacko Law Group is a regulatory and corporate law firm whose work spans SEC examinations, mergers and acquisitions, and broader securities counsel. It’s known for building tailored legal strategies and durable client relationships across the advisory and broker-dealer space.

COMPLY brings an adviser’s regulatory obligations under one roof, combining compliance program management with personal-trade monitoring and purpose-built tools such as its rollover-analysis and peer-benchmarking products. Users frequently point to its usability and the breadth of what it covers.

Ascendant centers on a compliance and risk-management platform that unifies policies and procedures, risk and issue tracking, and audit management in a single workspace. Features like one-click reporting and automated reminders make it easier to keep ongoing oversight on schedule.

RIA Registrar specializes in getting independent advisers registered and keeping them in good standing. Its offerings include Series 65 exam preparation, Form CRS drafting, and access to E&O coverage — freeing advisers to stay focused on clients.

Compliance Advisers delivers tailored regulatory consulting to investment advisers, broker-dealers, and investment companies nationwide. Services span registration packages, annual compliance meetings, and continuing-education program design.

RIA Compliance Consultants pairs each client with a senior consultant who learns the firm’s business model before recommending solutions. The firm offers consultations, tools, and training to help advisers meet both federal and state securities requirements.