Your Partner for All Firm and Employee Compliance Needs

COMPLY delivers award-winning software backed by best-in-class services, consulting, education, and support that allow financial services firms – from RIAs and Wealth Managers to Private Funds and Investment Banks to Broker-Dealers – to navigate state or SEC compliance regulations with confidence.

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All in One Compliance for Financial Services Firms

Whether you are an RIA, Private Fund, Investment Bank, Broker Dealer or establishing a new firm, COMPLY is the only compliance partner you need.

SEC, State, or FINRA Registration

While you may be focused on building out your brand, determining your business operations, and establishing your client base, you can’t underestimate the time and resources it will take to establish and maintain a comprehensive compliance program. That’s where we can help.

While you may be focused on building out your brand, determining your business operations, and establishing your client base, you can’t underestimate the time and resources it will take to establish and maintain a comprehensive compliance program. That’s where we can help.

Establish your Policies and Procedures and Code of Ethics, manage your compliance program with an intelligent compliance calendar, and easily perform annual reviews and risk assessments using COMPLY for Private Funds.

Create, document, automate, and enforce your Policies and Procedures, Code of Ethics, employee trade monitoring, certifications, and compliance calendar using COMPLY for Wealth Managers and RIAs.

Easily manage employee supervision – including licensing, registrations, brochures, and Written Supervisory Procedures – and demonstrate, disclose, and document your best interest recommendations, using COMPLY for Broker-Dealers.

Insight, Accuracy, Compliance - For Compliance Professionals.

4,000+
Total RIAs Registered with COMPLY's Support
7,000+
Clients in the Financial Services Industry
61
Countries with Active Users
350+
Employees Worldwide

Register your RIA

Whether required to register with the SEC or State, COMPLY has the expertise to guide you through the entire registration process

Filings Include:

  • FINRA Entitlement
  • Form ADV Part 1
  • Form ADV Part 2A
  • Form ADV Part 3
  • Form U4
  • Form ADV Part 2B
  • Fillings all required jurisdictions
  • Code of Ethics
  • Policies and Procedures Manual
  • Investment Adviosory Agreement
  • Financial Planning Agreement
  • Privacy Policy
Get Registered

A comprehensive compliance solution and partner for our customers

DIRECT BROKER FEEDS

Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.

Ready to learn more?

Schedule a demo to see how COMPLY’s best-in-class software, services, consulting, education, and support can solve your regulatory challenges.