RIA compliance program management technology

Establish and scale your compliance program to meet the evolving demands of the compliance landscape. Join the more than 3,000 RIA firms, who rely on our best-in-class compliance program support. 

Our comprehensive compliance program management technology provides critical functionality for day-to-day and strategic compliance activities, including:

Building icons

Employee supervision

Building icons

Registration tracking

Alert icon

Compliance activity logging

Gift icon

Risk assessment

Coins icon

Marketing review

Partner with our client advocate team

RIA client advocate

Compliance consulting

ria compliance consultant

Private fund adviser compliance software and services

ria software and services

Mobilize your compliance program

riab mobilize

Effectively comply with the new SEC Marketing Rule

RIA SEC Marketing Rule

Don't take our word for it

Compliance technology designed specifically for RIAs

Handshake icon


Our powerful integration capabilities facilitate data connections between MyRIACompliance and other industry-leading solutions, enhancing communications, increasing efficiency and providing a seamless customer experience.
Group of people icon

Industry partners

With best-in-class industry partners, we are streamlining processes and increasing accuracy for registered investment advisers and their firms.
white superior user experience icon

Superior user experience

Built on a mobile-first architecture, our platform provides a frictionless experience for you and your employees, making compliance easy and painless.
white lightbulb icon

Platform innovation

Incorporating direct feedback from COMPLY’s portfolio of firms, we continuously implement the enhancements that matter most to our clients.
white award winning icon

Award-winning customer service

Your experience is our top priority. With 24/5 customer service and extensive industry knowledge, you can count on a smooth and ideal customer experience.
white badge with checkmark icon

Backed by regulatory expertise

Our technology and resources are backed by decades of regulatory expertise, with the support of compliance consultants who have served as CCOs, lawyers and regulators themselves.

Supporting documents

Six tips for staying compliant with the SEC's new Marketing Rule
Five ways compliance consulting can help your RIA firm
Who is responsible for compliance within your RIA?

Frequently Asked Questions

What is available with a compliance software package?
Is there a fee for training and onboarding?
What is included in onboarding?
What additional services are available?
What is included with the compliance consulting services?

Ready to get started?

Meet regulatory requirements without sacrificing business priorities. How? Compliance program management with RIA in a Box.