COMPLY’s strategic partnerships enable financial firms of all sizes to effectively manage compliance risk and meet operational challenges with ease and accuracy. We partner with firms in various capacities, from product integrations to thought leadership and referral programs. Ready to partner?
The partnership aligns COMPLY’s comprehensive compliance expertise with Chicago-based Advyzon’s integrated wealth management platform to provide three new points of integration: 13F Filing, Compliance Calendar, and Employee Trade Monitoring.
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The integration allows a joint Black Diamond and COMPLY RIA in a Box Platform client to automate compliance and registration requirements to help ensure consistent and accurate registration and Form ADV information is filed.
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CircleBlack’s integration allows joint CircleBlack and COMPLY RIA in a Box Platform clients to link their CircleBlack and RIA in a Box credentials to view, complete, and track tailored regulatory compliance tasks all within the CircleBlack Experience. COMPLY helps to programmatically deliver firm-specific compliance tasks utilizing the firm’s Form ADV and other proprietary data directly into CircleBlack.
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The integration allows a joint Docupace and COMPLY RIA in Box subscriber to leverage single sign-on to access the Docupace Vault to consolidate their physical and digital records.
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We have partnered with InvestorCOM on the release of the RolloverAnalyzer™ and RolloverAnalyzer Dashboard to assist RIAs in meeting the DOL PTE 2020-02 rollover requirements, including the retrospective review. RIAs that use the RolloverAnalyzer™ will gain access to time saving and intuitive features that help them efficiently meet their compliance and oversight requirements.
Additionally, with our expanded partnership we provide brokers and investment advisers with easier access to InvestorCOM PeerCompare™, an intuitive application for advisers to make best interest recommendations.
The integration allows a joint Morningstar and COMPLY RIA in a Box client to automate compliance and registration requirements to help ensure consistent and accurate registration and Form ADV information is filed.
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Our integration allows a joint Orion and COMPLY RIA in a Box client to automate compliance and registration requirements to help ensure consistent and accurate registration and Form ADV information is filed.
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Our integration with Redtail allows a joint Redtail and COMPLY client to view, complete, and track tailored regulatory compliance tasks all within the Redtail CRM calendar system. The RIA in a Box Platform helps to programmatically deliver firm-specific compliance tasks utilizing the firm’s Form ADV and other proprietary data directly into the Redtail CRM system.
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Nitrogen’s integration with the RIA in a Box Platform establishes a simple supervisory workflow in which the Chief Compliance Officer (CCO) of a firm is able to seamlessly track, manage, and document the client suitability and portfolio review process enabled by the two platforms.
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The integration allows a joint Salesforce and COMPLY RIA in a Box subscriber to view and complete tailored regulatory compliance tasks all within the Salesforce task and calendar system. The RIA in a Box Platform helps to programmatically deliver firm-specific compliance tasks utilizing the firm’s Form ADV and other proprietary data directly into the Salesforce system.
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The integration allows a joint SEI and COMPLY RIA in a Box client to automate compliance and registration requirements to help ensure consistent and accurate registration and Form ADV information is filed.
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Our integration enables joint users of the RIA in a Box Platform and Wealthbox to view and complete customized regulatory compliance events all within the Wealthbox calendar system. The RIA in a Box Platform helps to programmatically deliver firm-specific compliance tasks utilizing the firm’s Form ADV and other proprietary data directly into the Wealthbox CRM system.
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The Investment Adviser Association is the leading association advocating the interests of investment adviser firms registered with the Securities and Exchange Commission.
As a long-standing partner, IAA co-sponsors the Investment Adviser Certified Compliance Professional (IACCP®) program with COMPLY, which offers compliance professionals the comprehensive knowledge to help them build a strong compliance program with industry-recognized best practices. Additionally, IAA and COMPLY release the IA Snapshot, an annual in-depth study analyzing annual updates filed by investment advisers registered with the U.S. SEC.
RIA firms have streamlined access to leading cybersecurity insurance plans to help portect their firms from financial losses in the event of a cybersecurity incident. Directly through our the RIA in a Box Platform, COMPLY clients will have easy access to the AssetSure platform, which populates cyber insurance quotes from multiple carriers based on each firm’s individualized needs.
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Firms have streamlined access to leading cybersecurity insurance plans to help protect their firms from financial losses in the event of a cybersecurity incident. Directly through the RIA in a Box Platform, COMPLY clients will have easy access to the ProWriters platform, which populates cyber insurance quotes from multiple carriers based on each firm’s individualized needs.
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The RIA Tech Suite is a set of complementary technology platforms that automates critical back-office tasks. Get your RIA services up and running fast with all the tools you need.