“I love that the company has created a culture that solicits feedback to continually evolve the product to fit the customers’ needs. The support team is incredibly knowledgeable, and it shows!” – David Becker, CFIP
Ready to Register?
Starting your own firm is a significant achievement, one which requires strategic focus, business savvy, an entrepreneurial mindset….and a keen understanding of applicable regulatory requirements.
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.
Ready to start a new RIA? We’re here to help! Whether required to register with the SEC or State, we have the expertise to guide you through the entire registration process – and get your firm set up for success.
Leverage our team of industry professionals and former regulators for your registration and business planning process. We can help you every step of the way, including providing a curated list of organizations that we regularly work with to assist with other legal or business services you may need.
“I love that the company has created a culture that solicits feedback to continually evolve the product to fit the customers’ needs. The support team is incredibly knowledgeable, and it shows!” – David Becker, CFIP
“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
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
With automated workflows, in-depth reporting and secure APIs, you can rest assured we’ve got your compliance program covered, giving you more time to focus on what matters most — your clients and investors.
Offering a suite of robust solutions to meet your unique compliance needs, COMPLY provides the depth and breadth of compliance solutions to help you navigate complexity with ease.
Your focus is on your clients. Our focus is on your compliance. Deliver an alpha strategy anchored in comprehensive risk assurance, all while maintaining compliance with precision and ease. How? With COMPLY. Backed by the experts across the COMPLY portfolio, you can rest assured we have the details — from Form ADV disclosures to Form 13F and back again — covered.
A full view of all events so that you can plan your year for education; from becoming an IACCP® designee, completing the IA Core Compliance program, or continuing your education.
Navigate the complex FINRA registration process with a trusted resource at your side every step of the way.
Navigate the complex FINRA registration process with a trusted resource at your side every step of the way.
Whether SEC or State, we have the expertise to guide you through the entire registration process – and get your firm set up for success.
Register your reps, track their requirements, maintain compliance. With the support of COMPLY’s team of experts.
From Form PF to Form 13F, your regulatory files are paramount to maintaining your regulatory standing. Enhance efficiency. Ensure effectiveness. With filings backed by COMPLY experts.
Download COMPLY’s Ultimate New Registration Toolkit for the guides and resources you need to start your registration journey.
