Start your RIA with expert guidance. Call +1 (866) 644-8330
Whether registering with the SEC or a state regulator, COMPLY simplifies the process and sets your firm up for success.
Ready to register? Call +1 (866) 644-8330
With decades of experience and thousands of successful registrations, COMPLY’s team — including former regulators — guides you through every step. We also connect you with trusted legal and business service providers to support your firm’s launch.
Our experts handle key filings, including:
One representative is included; additional representatives are extra.
Registration is just the beginning — regulators expect a fully operational compliance program from day one. COMPLY offers ongoing compliance support to help you manage obligations while you grow your firm.
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.
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
Powerful integration capabilities facilitate data connections between our platform and other industry-leading solutions, enhancing communications, increasing efficiency, and providing a seamless customer experience.
Decades of regulatory expertise power COMPLY’s premier compliance education programs. With courses designed for CCOs, IARs, and more, COMPLY empowers our clients to elevate their program and their career…raising the standard of regulatory compliance across the industry.
Incorporating direct feedback from COMPLY’s portfolio of firms, we continuously implement the enhancements that matter most to our clients. We go beyond technology to offer a breadth of services and solutions designed to meet our clients’ unique needs and challenges, including digital asset trade monitoring, compliance program management, consulting services, compliance education, and more.
The COMPLY team is comprised of former CCOs, former regulators, and experienced lawyers. We understand the challenges you face because we’ve been there. Our deep bench of industry expertise – which includes expansive knowledge in technology enablement and regulatory compliance protocols and processes – supports more than 7,000 clients.
Let us be an extension of your back office and provide support from our dedicated subject matter experts when you need it most. Customer support is available 24/5.
You are focused on starting your RIA. We’ll focus on making sure you’re compliant.
