RIA compliance program management technology

Comprehensive compliance technology tailored to meet the requirements of your RIA firm’s compliance program

Manage your registered investment adviser (RIA) compliance program with ease. 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:

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Employee supervision

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Registration tracking

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Compliance activity logging

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Risk assessment

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Marketing review

Partner with our client advocate team

RIA client advocate

Compliance consulting

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Private fund adviser compliance software and services

ria software and services

Mobilize your compliance program

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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

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

With best-in-class industry partners, we are streamlining processes and increasing accuracy for registered investment advisers and their firms.
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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.
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Platform innovation

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

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?

Optimize your compliance program and unlock the power of your compliance data.