RIA compliance firm directory

3iCO provides outsourced CCO coverage and team-based compliance consulting for advisers, private funds, broker-dealers, and other regulated firms. Its tiered service model combines program design, filings, training, testing, and examination preparation with a proprietary portal for documentation and ongoing oversight.

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.

Agile Legal uses a flexible legal-service model to support RIAs, private fund managers, and other fund-market participants with formation and securities compliance. Its virtual team handles defined projects and ongoing work involving offering documents, SEC and state filings, AML/KYC processes, and related fund operations.

Bates Group supports RIAs across registration, recurring program administration, annual reviews, regulatory examinations, filings, and targeted compliance projects. Its wider financial-services practice also includes remediation, investigations, litigation support, and data analytics for firms whose needs extend beyond routine compliance maintenance.

Beach Street Legal is a specialized law firm for independent advisers and financial planners. It handles new RIA registrations, recurring compliance administration, regulatory examinations, marketing reviews, and adviser M&A, making it a fit for firms that want legal and compliance work coordinated through one focused provider.

Blueprint Regulatory Consulting provides customized compliance support for investment advisers, including registration, policies, annual reviews, mock SEC examinations, Form ADV work, marketing review, and bundled program assistance. Its practice emphasizes risk-based recommendations fitted to each adviser rather than a standardized compliance package.

Brightstar Law Group combines RIA-focused legal counsel with registration, compliance-program support, outsourced CCO coverage, and transaction work. It serves advisers from launch through ongoing operations, examinations, M&A, and succession, offering a potentially useful single relationship for firms that want securities attorneys and compliance consultants working together.

Chenery Compliance Group is a boutique outsourced-compliance provider for SEC-registered and exempt-reporting advisers, private-fund sponsors, and investment companies. Its three service levels range from named CCO coverage to lighter recurring assistance, combining senior compliance personnel, team-based delivery, systematic calendar management, and adviser-focused software.

Cloudbreak Compliance Group is a specialized consultancy for private funds and investment-advisory businesses, with recurring senior-level support and on-site interaction. Its scope spans registration, program development, annual reviews, filings, testing, mock exams, examination support, training, communications review, and third-party compliance-software implementation.

Compliance 911 Solutions supports investment advisers and broker-dealers with registration, program administration, and recurring back-office compliance work. RIAs can select a flat-monthly bundle, add enhanced services, or engage the firm for individual projects and hourly consulting, creating several ways to supplement an internal compliance function.

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.

Compliance Advisor Professionals provides customized registration and continuing compliance support to investment advisers. Its services cover federal and state registrations, program documents, filings, annual reviews, marketing review, training, and examination support, with complete packages, individual projects, and annual fixed-fee retainers available for different levels of need.

Compliance Network provides U.S. regulatory support with a particular focus on Latin American and other international financial institutions entering or operating in the country. Its investment-adviser services include IARD and Form ADV administration, program testing, Code of Ethics and procedures work, pre-exam assessments, Rule 206(4)-7 reviews, and cybersecurity assessments.

Compliance4 is a boutique asset-management compliance firm offering independent CCO and deputy CCO engagements, program design and testing, annual reviews, targeted program check-ups, and acquisition due diligence. Its client scope includes investment advisers, private funds, registered investment companies, mutual funds, ETFs, and fund boards.

Compliers Consulting Services combines RIA and broker-dealer consulting with temporary or permanent compliance staffing and proprietary AI-assisted review tools. Its RIA scope includes SEC, state, and exempt-reporting-adviser registrations, while its technology supports marketing, email, outside-account, and Code of Ethics oversight under human compliance supervision.

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.

Confluence Compliance Services is the consulting, outsourcing, cybersecurity, and compliance-technology practice within the larger Confluence Technologies organization. It supports investment advisers, wealth managers, private funds, and other regulated firms through program development and management, mock exams, independent reviews, targeted projects, and the Ascendant Compliance Manager platform.

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.

Coulter Strategic Services provides customized compliance consulting, ongoing program support, project work, education, and templates for SEC- and state-registered advisers. Its full-service package covers annual reviews and amendments, disclosures, communications, trading, policies, marketing, and political contributions, while narrower projects can address program launches, updates, research, or training.

Cucharale Consulting Group combines CCO and compliance-program support with operational and management consulting for investment advisers, broker-dealers, and other smaller financial firms. Its compliance work includes registration, cybersecurity, annual reviews and training, AML and identity-theft programs, and marketing review; its broader practice addresses controls, continuity, technology, and business transitions.

Dziura Compliance Consulting provides outsourced CCO coverage, recurring program administration, project work, and interim staffing to investment advisers, registered funds, private-equity managers, and hedge funds. Its scope includes annual reviews, filings, policies, testing, mock exams, examination support, cybersecurity, continuity, ethics, marketing, AML, training, and operational oversight.

Fairview provides technology-enabled compliance administration to RIAs, combining dedicated client teams with registration, filings, policies, annual reviews, testing, ethics and personal-trading oversight, marketing review, books and records, and SEC examination support. Adjacent Fairview practices add cybersecurity, AML/CFT, private-fund administration, and other specialized operating services.

Financial Planners Assistance concentrates on RIA compliance, offering federal and state registration, continuing program support, mock audits, modular outsourcing, and named CCO service. Its website is unusually transparent about current pricing, although firms should verify the latest amounts, scope, and regulatory fees directly before relying on them.

FiSolve provides outsourced CCO and compliance support within a broader operating model that also includes general-counsel and COO capabilities. Its compliance work covers advisers and funds through program reviews, policies, testing, filings, training, marketing oversight, employee controls, cybersecurity, and regulatory-examination preparation.

FrontLine Compliance develops and reviews SEC compliance programs for advisers and private-fund managers. Its work spans registration, filings, annual reviews, forensic testing, examinations, and remote program support, with a distinct AI-governance service addressing policies, use cases, vendors, privacy, supervision, training, and regulatory readiness.

IQ-EQ's U.S. regulatory practice provides project and ongoing compliance support across SEC, NFA/CFTC, investment-company, and FINRA requirements. For RIAs, the relevant scope includes registration, program documents, testing, filings, annual reviews, examinations, marketing and communications oversight, employee compliance, and access to its gVue technology.

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.

JG Advisory Services is a specialist compliance consultancy for SEC-regulated advisers managing hedge funds or private-equity vehicles. Its concise public site identifies registration, regulatory filings, adviser training, marketing review, yearly program reviews, and calendar support, but provides too little delivery detail for a useful full profile.

Key Bridge Compliance offers tiered support for SEC-registered advisers, ranging from a flat-fee new-firm launch to recurring internal-CCO support and a named outsourced CCO. Depending on the tier, services can include program documents, filings, training, risk assessment, advertising review, employee-account oversight, testing, and examination response.

MarketCounsel supports independent advisers from RIA launch through continuing compliance and business transitions. Its offering combines a fixed-fee startup program, tiered compliance-management memberships, advertising and filing support, examinations, annual-review and verification work, member education, and the MARK workflow platform, with legal services available separately through an affiliated law firm.

Moran Compliance is a principal-led boutique for SEC-regulated advisory businesses, private-fund managers, and registered funds. Its services include named or supporting CCO work, compliance-program design and annual reviews, risk and gap assessments, regulatory monitoring, mock SEC examinations, records and interview preparation, remediation, and advertising review.

NorthPoint Compliance provides project-based SEC compliance support to investment advisers, including registration, program documents, annual reviews, mock examinations, risk-based testing, filings, examination response, training, advertising review, conflicts, trading, records, valuation, and Blue Sky assistance. Each engagement begins with an ADV and program review followed by a written scope.

OCA Consulting gives private-fund managers access to outsourced compliance, finance, and operations experience without building a complete internal executive team. Its compliance scope includes SEC and NFA registration, program design, training, manuals and supplemental policies, marketing and DDQ review, plus coordination of fund launch, service providers, agreements, and operating accounts.

Optima Partners advises investment managers and other financial institutions on worldwide regulatory obligations and cyber risk. Its scope includes registrations, program design, ongoing oversight, testing, annual reviews, filings, examinations, outsourced CCOs and secondments, transaction diligence, plus cyber assessment, penetration testing, incident planning, and AI-governance work.

Orical combines adviser compliance consulting and managed monitoring with its REAL software platform. Services include registration, program documents, annual reviews, mock examinations, regulatory filings, ethics administration, trading and conflict reviews, electronic communications, training, and quarterly reporting. Separate legal representation is available through affiliated Florio Leahy LLP.

Oyster Consulting combines RIA compliance consulting, outsourced CCO and staffing support, operations expertise, and Oyster Solutions software. Its adviser-focused work includes registration, risk assessment, annual reviews and testing, AML testing, program and policy review, remediation, temporary compliance capacity, and technology for monitoring, trade reporting, documentation, procedures, and testing workflows.

Precedent Partners provides compliance and operational consulting to investment advisers and broker-dealers. Its RIA work includes formation, annual reviews, risk-based mock audits, ADV maintenance, independent AML reviews, customized policies, inspections, training, continuing CCO support, and compliance and operational diligence for mergers, acquisitions, ownership changes, and succession.

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.

Renaissance Regulatory Services provides SEC and state adviser compliance consulting through projects, on-site or remote reviews, and continuing retainers. Its RIA scope includes registration, program design, risk assessments, internal controls, policies, annual reviews, specialized testing, regulatory-examination support, Form ADV maintenance, renewals, notice filings, and IARD guidance.

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.

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.

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.

SEC Compliance Solutions offers packaged support for new advisers, annual compliance reviews, and mock SEC examinations. Its scope includes registration, regulator communication, customized policies, adviser education, risk and monitoring schedules, filings, testing reports, optional forensic reviews, remediation, employee interview preparation, continuing remote consulting, and assistance during actual examinations.

SEC³ Compliance offers registration, recurring program support, mock examinations, outsourced CCO service, and independent remediation consulting. Its partnership model can cover annual reviews, filings, policy maintenance, training, risk assessments, marketing and communications review, scheduled meetings, and assistance during an SEC examination.

Securities Compliance Advisors provides customized registration, program design, recurring support, annual reviews, mock examinations, filings, training, marketing review, and examination assistance. Its adviser practice covers institutional and retail RIAs, private-fund managers, family offices, and other firms navigating SEC, state, or overlapping regulatory requirements.

Silver Regulatory Associates supports hedge funds, venture managers, private-equity firms, and digital-asset strategies with SEC registration, ongoing program administration, filings, annual reviews, testing, marketing oversight, staff training, examination readiness, and response. Its compliance practice is especially oriented toward private-fund managers and investment strategies involving digital assets.

Solid Regulatory Risk Management identifies fund managers, investment advisers, and broker-dealers as its audience and describes tailored, practical compliance-program support. The current one-page website does not provide a service inventory, delivery model, consultant background, or engagement detail sufficient for a useful full profile.

Standish Compliance is a private-fund specialist offering customized program administration, reviews, surveillance, ethics and AML/KYC operations, regulatory reporting, SEC registration, examination support, outsourced deputy CCO service, training, special projects, and cybersecurity work. Engagements are designed around the manager's structure, risks, internal resources, and investor expectations.

Ste-Croix Consulting provides project-based and continuing compliance help to SEC-, FINRA-, and NFA/CFTC-regulated financial firms. Its offering includes new registration, advisory support, examination and remediation assistance, mock reviews and gap analyses, interim CCO coverage, and managed Code of Ethics and email-review functions.

STP Investment Services combines tiered RIA compliance programs with fund administration, investment-operations outsourcing, and technology. Its ComplianceAdvisor offering ranges from filings, manuals, risk assessments, and calendars to examination support, annual reviews, daily post-trade monitoring, personal-trade and communications review, and optional outsourced CCO service.

True West supports independent RIAs through tiered compliance consulting plus legal coordination, IT governance, finance, and proprietary Herdware platform technology. Its compliance levels cover registration, filings, documents, training, annual reviews, marketing, examinations, testing, cybersecurity coordination, vendor oversight, and electronic-correspondence review.

Vigilant provides full-service RIA compliance through support to an internal CCO, interim coverage, or an outsourced CCO appointment. Its scope includes registration, program design, annual reviews, filings, examinations, mock reviews, employee controls, marketing, cybersecurity assistance, training, remediation, and proprietary ComplianceAssurance monitoring technology.

Vista360 provides customized regulatory and management consulting to investment advisers and funds. Its regulatory practice covers program builds, SEC registration, policies, testing, annual reviews, mock examinations, filings, training, ethics-system implementation, marketing, AML reviews, due diligence, remediation, and continuing CCO support through projects or year-round engagements.

Waystone Compliance Solutions provides global registration and licensing, compliance-program development and monitoring, regulatory advice, risk management, outsourcing, training, and cyber and data-protection support. Its international scope may suit asset and fund managers operating across jurisdictions, though prospective U.S. RIAs should confirm the precise SEC and state-adviser coverage.