Wealth Management & RIAs

Your One-Stop-Shop for SEC and State Regulatory Compliance

Used by 4,500+ RIAs nationwide – trusted by your peers
Built by compliance experts to support RIAs like yours – with software and services designed to meet today’s regulatory demands
Automated monitoring to help identify and address risks – before they become exam-day findings
Reduce manual tracking and spreadsheet fatigue – streamline oversight and cut down on avoidable errors
Expert-guided support for SEC and state RIA registration – including help with Form ADV, U4s, and compliance calendar setup

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You're focused on helping your clients maximise their investments. We're focused on ensuring your compliance program meets regulatory standards.

Meet Complex Regulatory Demands

The scope of regulatory requirements is only increasing. Leaving many firms facing the often insurmountable task of reviewing, interpreting, and implementing the appropriate compliance changes to meet new requirements.

Focus on Fiduciary Duty and Obligations

The Care Obligations outlined in the Investment Advisers Act of 1940 are foundational to your work with clients, and your ongoing compliance.

Manage Onerous Form Filings

From Form ADV to Form D, identifying, tracking, managing, and completing the necessary forms and updates is often one of the most common deficiencies for RIAs.

Complete All IAR CE Requirements

While compliance is your top priority, for the IARs within your firm, it may not be. However, when it comes to CE requirements, failing to complete the 12 credits could mean a loss of license and business.

Assessing Your Programs Effectiveness

Regular assessment, review, and testing of your compliance program isn't just mandated by the SEC, it is a best practice to proactively identify potential gaps before they become deficiencies.

Manage Code of Ethics/Policies and Procedures

As the CCO, not only are you responsible for setting the standard of compliance, you must also track and monitor all employees trades, OBAs, gifts, entertainment, political contributions, and more.

Navigate the Registration Process

Making the decision to start your own firm is a huge commitment, the process to register that firm and ensure your compliance program is adequately implemented from day 1 is even bigger.

Ready to meet your partner in compliance?

Comply's regulatory and technology experts have decades of experience helping RIA firms navigate the varied and complex regulatory requirements set forth by the SEC and state. And we can help you do the same.

Comply Program Management

A comprehensive compliance program is multi-faceted, addressing a firm’s core risk points based on business activity and operations. The answer to managing the daily details? Automation.

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SEC and State Registration

Our team of registration experts have helped thousands of RIAs register their firm. We’ll take care of the regulatory process, so you can focus on establishing and growing your business.

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Comply Fiduciary Suite

Leverage this centralized, comprehensive solution for managing end-to-end compliance with fiduciary duty of care obligations. Three solutions make up this dynamic offering: AccountCompare, PeerCompare, and RolloverAnalyzer.

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Form Filing Services

Grow your regulatory filings team without adding any full-time employees. Our in-house regulatory experts will provide guidance, act as a resource, and ultimately, help you file on time, every time.

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Annual Review and Risk Assessment Tools

Automate the review and testing of your compliance program, identifying, remediating, and documenting your findings for ongoing reference.

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IAR CE Management

Whether you need IAR CE for a team of 200 or a team of just you, Comply has high-quality and accessible courses that fulfill the IAR continuing education requirements.

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Policies and Procedures/Code of Ethics Management

Generate, implement, and maintain comprehensive Policies and Procedures tailored specifically to your firm’s risk profile and business operations. Align this critical documentation with day-to-day monitoring of employee trades, outside business activities, and more.

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The customer service at Comply is special. They are all extremely knowledgeable and friendly. I appreciate the team always allows me the opportunity to walk through the product and learn, so I can reduce the times I must reach out again in the future.

Jackie Jacobs, VSS

Frequently Asked Questions

You've got questions. We've got answers.

Have a few questions after exploring our solutions and capabilities for RIAs and Wealth Managers? Check out some of the most frequently asked questions for all your answers.

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What solutions does Comply offer for investment advisors?

Comply offers various solutions for investment advisers to streamline their compliance tasks and efficiently meet the Securities and Exchange Commission’s (SEC) requirements. Learn more about our investment adviser compliance solutions, including the Comply Platform and Control Room.

Are there specific compliance solutions for independent registered investment adviser (RIA) firms?

Yes, Comply offers various RIA firm-specific software and services, including RIA registration, compliance support, employee supervision, and cybersecurity.

What type of customer support is provided?

Comply provides our customers with the service and support required to meet the exacting demands of the regulatory industry, while embodying the attention to detail you demand of yourself and your team. With 24/5 support and unparalleled in-house expertise, your program is our priority from the moment you begin the onboarding process. That’s our promise to you.

You can contact our Customer Support team here.

How long does the onboarding process usually take?

Comply’s onboarding team will be there with you every step of the way, working with you to create a plan which addresses your company’s unique needs. During onboarding the team will load data, configure the system to your use case and help set up integrations. The team will also provide guided instruction of broker feed outreach and assist with establishing broker feeds. Onboarding is concluded with supervisor training and assisting your organization go live on the platform.

Typical onboarding takes approximately 6-8 weeks. For larger clients onboarding is scoped to meet your company’s unique needs

How can I schedule a demo?

Complete this form to schedule a full demo and see firsthand what our compliance solutions can do for you.

Does the system allow CCOs to manage a restricted securities list?

Yes, the restricted securities list is fully customizable for firms which implement a trade pre-clearance program. When implemented, each access person submits a trade request, which is then automatically approved or held for approval based on the firm’s settings. In addition, any security purchased or sold by an access person that is listed on the firm’s restricted security list is flagged by the system for further review. All historical restricted securities are archived.

Why do I need to archive my firm's website?

Meet books and records compliance requirement
Protect your firm
Analyze your content over time

Does the system create access person holdings and transactions reports?

Yes, the tool is designed to help meet the SEC’s Rule 204A-1 (Code of Ethics Rule) requirements as it relates to personal securities trading. The Code of Ethics rule requires all access persons of an RIA firm to submit securities holdings and transaction reports to the firm’s chief compliance officer (CCO) or other designated person(s). The system automatically creates holdings and transactions reports, which are then reviewed and attested to by the firm’s access persons prior to submission.

Can the cybersecurity solution be customized?

Yes, the solution can be customized to your firm’s unique needs through connection sourcing and by pairing it with the RIA in a Box platform.