“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 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.
With decades of experience registering thousands of investment advisers, the COMPLY team is here to help. 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.
Ready to register? Call +1 (866) 644-8330
“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
“COMPLY’s customer support has major advantages over our previous vendor. For a start, they are quicker to respond, they seem to understand the product better and they understand the industry better.” – Chase Eldredge, Angel Oak Capital Advisors
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
You are focused on starting your RIA. We’ll focus on making sure you’re compliant.
Register your reps, track their requirements, maintain compliance. With the support of COMPLY’s team of experts.
Register your reps, track their requirements, maintain compliance. With the support of COMPLY’s team of experts.
Whether SEC or State, we have the expertise to guide you through the entire registration process – and get your firm set up for success.
Navigate the complex FINRA registration process with a trusted resource at your side every step of the way.
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.
