Investment advisers

Expertly navigate complex regulations

Your investment advisory firm faces new risk and regulatory challenges on a near daily basis. With the Securities and Exchange Commission (SEC) hyper-focused on evolving their regulatory presence to meet the changing industry, registered investment advisers are tasked with navigating increasingly complex regulations all while maintaining client trust and protecting their best interest. We get it. We can help. 

Empower your compliance team

You deserve a solution as accurate and dependable as you are.

Whether you are a part of a large firm or a breakaway, a state- or SEC-registered adviser, your firm has an ever-growing number of regulatory requirements to meet and track. But you don't have to do it alone.

At COMPLY, we are obsessed with the details, taking the time to precisely analyze new regulations, like the SEC Marketing Rule, to provide thorough solutions to help your firm navigate the ever-evolving landscape. It’s why we offer a full suite of technology, consulting and educational resources to help you effectively manage your compliance program so you can focus on delivering value for your most valuable asset – your clients.

– Dually registered investment adviser and broker-dealer firm senior compliance officer
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Proactively identify risks.

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Navigate SEC and state regulations and risk alerts.

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Track and tackle conflicts of interest.

Safeguard your reputation

Establish and maintain client trust

Lean into your resources

Don’t take our word for it

Frequently asked questions

What solutions does COMPLY offer for investment advisers?
Are there specific compliance solutions for independent registered investment adviser (RIA) firms?
What type of customer support is provided?
How long does the onboarding process usually take?
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Ready to get started?

Dependable. Accurate. Comprehensive. Manage your compliance program with a partner who is as dedicated to getting it right as you are. Manage your compliance program with COMPLY.