Directory
Compliance technology directory
Free for compliance professionals
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Archiving & communications surveillance
17a-4 LLC
New York, NY · Founded 2001
Serves: Broker-dealer
ACA Group
Founded 2002
Archive Intel
Atlanta, Georgia area · Founded 2024
Serves: RIA, Broker-dealer
Behavox
London; offices in New York, Washington, Montreal, Toronto, Tokyo and Milan · Founded 2014
Bloomberg
Serves: Fund manager
Comma Compliance
San Francisco, California
Serves: RIA, Broker-dealer, Fund manager
Comply (ComplySci)
New York, NY
Comply for RIA (formerly RIA in a Box)
Evizone
Montreal, Canada · Founded 2009
Serves: RIA, Broker-dealer
Global Relay
Vancouver, Canada · Founded 1999
Greenboard
New York, NY · Founded 2023
Serves: RIA, Broker-dealer
Hadrius
New York, NY · Founded 2023
Hearsay Systems (a Yext company)
San Francisco, California
Serves: RIA, Broker-dealer
Intradyn
Bloomington, Minnesota
Serves: RIA, Broker-dealer
LeapXpert
New York, New York
Serves: Broker-dealer, Fund manager
Luna Compliance
San Francisco, California
Serves: RIA
MessageWatcher
Denver, Colorado
Serves: RIA, Broker-dealer
Mimecast
London, United Kingdom · Founded 2003
MirrorWeb
Serves: RIA, Broker-dealer
MyComplianceOffice
Compliance management covering employee compliance, transaction surveillance, third-party risk and regulatory obligations.
Dublin, Ireland
NICE Actimize
Serves: Broker-dealer, Fund manager
Patrina
New York, New York · Founded 1993
Serves: RIA, Broker-dealer
Proofpoint
Sunnyvale, California · Founded 2002
Red Oak (Red Oak Compliance Solutions)
Austin, Texas · Founded 2010
RegFin
Serves: RIA
RIA Compliance Technology
Arizona · Founded 2017
Serves: RIA, Broker-dealer
Saifr
Boston, Massachusetts
Shield
Smarsh
SteelEye
London, United Kingdom
Theta Lake
Santa Barbara, California
Vault America
Serves: RIA, Broker-dealer
Trade & personal trading surveillance
ACA Group
Founded 2002
Behavox
London; offices in New York, Washington, Montreal, Toronto, Tokyo and Milan · Founded 2014
Bloomberg
Serves: Fund manager
CRC-Oyster
New York, NY; office in Wayne, Pennsylvania
Serves: Broker-dealer, RIA, Fund manager
Eventus
Austin, Texas
Serves: Broker-dealer, Fund manager
Hadrius
New York, NY · Founded 2023
MyComplianceOffice
Compliance management covering employee compliance, transaction surveillance, third-party risk and regulatory obligations.
Dublin, Ireland
Nasdaq
Serves: Broker-dealer, Fund manager
NICE Actimize
Serves: Broker-dealer, Fund manager
Orion Compliance (Orion Advisor Solutions)
Shield
Smarsh
Solidus Labs
Serves: Broker-dealer, Fund manager
StarCompliance
Rockville, Maryland
SteelEye
London, United Kingdom
Surveill
Serves: RIA, Broker-dealer
Trillium Surveyor
Serves: Broker-dealer, Fund manager
Code of ethics & personal trading
ACA Group
Founded 2002
AdvisorAssist
Marshfield, Massachusetts · Founded 2006
Serves: RIA
Behavox
London; offices in New York, Washington, Montreal, Toronto, Tokyo and Milan · Founded 2014
Comply (ComplySci)
New York, NY
Comply for RIA (formerly RIA in a Box)
Greenboard
New York, NY · Founded 2023
Serves: RIA, Broker-dealer
Hadrius
New York, NY · Founded 2023
Intapp Employee Compliance (formerly Paragon Data Labs)
Palo Alto, California · Founded 2002
Luna Compliance
San Francisco, California
Serves: RIA
MyComplianceOffice
Compliance management covering employee compliance, transaction surveillance, third-party risk and regulatory obligations.
Dublin, Ireland
NextReg Compliance
Serves: RIA, Broker-dealer, Fund manager
Orion Compliance (Orion Advisor Solutions)
Patrina
New York, New York · Founded 1993
Serves: RIA, Broker-dealer
Quest CE
Milwaukee, Wisconsin
Serves: Broker-dealer
RegEd
Raleigh, North Carolina · Founded 2000
Serves: RIA, Broker-dealer
RegFin
Serves: RIA
RIA Compliance Technology
Arizona · Founded 2017
Serves: RIA, Broker-dealer
RIAFMS (DALS Technology)
Serves: RIA
Skematic
Serves: RIA
SmartRIA
Founded 2016
Serves: RIA, Broker-dealer
StarCompliance
Rockville, Maryland
AML & Transaction Monitoring
ComplyAdvantage
London · Founded 2014
Serves: Broker-dealer, RIA
Eventus
Austin, Texas
Serves: Broker-dealer, Fund manager
Hummingbird
San Francisco
Serves: Broker-dealer, RIA
LexisNexis Risk Solutions
Serves: RIA, Broker-dealer, Fund manager
Napier AI
London, United Kingdom
Serves: Broker-dealer, RIA, Fund manager
Nasdaq
Serves: Broker-dealer, Fund manager
NICE Actimize
Serves: Broker-dealer, Fund manager
Unit21
Serves: Broker-dealer
Marketing & advertising review
ACA Group
Founded 2002
AdvisorAssist
Marshfield, Massachusetts · Founded 2006
Serves: RIA
Archive Intel
Atlanta, Georgia area · Founded 2024
Serves: RIA, Broker-dealer
FIN Group (FIN Compliance)
Serves: RIA, Broker-dealer, Fund manager
Greenboard
New York, NY · Founded 2023
Serves: RIA, Broker-dealer
Hadrius
New York, NY · Founded 2023
Hearsay Systems (a Yext company)
San Francisco, California
Serves: RIA, Broker-dealer
Luna Compliance
San Francisco, California
Serves: RIA
Luthor
San Francisco, California · Founded 2024
Serves: RIA, Broker-dealer
MirrorWeb
Serves: RIA, Broker-dealer
NextReg Compliance
Serves: RIA, Broker-dealer, Fund manager
Norm Ai
Serves: RIA, Broker-dealer, Fund manager
Patrina
New York, New York · Founded 1993
Serves: RIA, Broker-dealer
PerformLine
Serves: RIA, Broker-dealer, Fund manager
Red Oak (Red Oak Compliance Solutions)
Austin, Texas · Founded 2010
Redan Compliance
Serves: RIA
RegEd
Raleigh, North Carolina · Founded 2000
Serves: RIA, Broker-dealer
RegFin
Serves: RIA
RIAFMS (DALS Technology)
Serves: RIA
Saifr
Boston, Massachusetts
Skematic
Serves: RIA
SmartRIA
Founded 2016
Serves: RIA, Broker-dealer
Theta Lake
Santa Barbara, California
Trillions
Serves: RIA
Vigilant (Vigilant Compliance)
Chadds Ford, Pennsylvania · Founded 2004
Serves: RIA, Fund manager, Broker-dealer
Wealthtender
Serves: RIA
Regulatory filings & reporting
13Now
Serves: RIA, Fund manager
ACA Group
Founded 2002
AdvisorAssist
Marshfield, Massachusetts · Founded 2006
Serves: RIA
Bloomberg
Serves: Fund manager
Broadridge Financial Solutions
New York
Serves: Broker-dealer, Fund manager
CapitalROCK
Serves: Broker-dealer
Compliance Solutions Strategies
Comply (ComplySci)
New York, NY
Comply for RIA (formerly RIA in a Box)
Confluence Technologies
Serves: Fund manager, RIA
Core Compliance
San Diego, California · Founded 2006
Serves: RIA, Fund manager
CRC-Oyster
New York, NY; office in Wayne, Pennsylvania
Serves: Broker-dealer, RIA, Fund manager
FIN Group (FIN Compliance)
Serves: RIA, Broker-dealer, Fund manager
Hummingbird
San Francisco
Serves: Broker-dealer, RIA
InvestorCOM
Serves: Broker-dealer, RIA, Fund manager
Luna Compliance
San Francisco, California
Serves: RIA
Nasdaq
Serves: Broker-dealer, Fund manager
NextReg Compliance
Serves: RIA, Broker-dealer, Fund manager
NICE Actimize
Serves: Broker-dealer, Fund manager
RegEd
Raleigh, North Carolina · Founded 2000
Serves: RIA, Broker-dealer
RegFin
Serves: RIA
RIA Compliance Consultants
Omaha, Nebraska · Founded 2004
Serves: RIA
RIAFMS (DALS Technology)
Serves: RIA
StarCompliance
Rockville, Maryland
SteelEye
London, United Kingdom
Unit21
Serves: Broker-dealer
Vigilant (Vigilant Compliance)
Chadds Ford, Pennsylvania · Founded 2004
Serves: RIA, Fund manager, Broker-dealer
Compliance management & workflow
ACA Group
Founded 2002
Advisor Armor
Serves: RIA
AdvisorAssist
Marshfield, Massachusetts · Founded 2006
Serves: RIA
AI Guardian
Serves: RIA, Broker-dealer
Blee
Serves: RIA, Broker-dealer
CapitalROCK
Serves: Broker-dealer
ChatGPT (OpenAI)
Serves: RIA, Broker-dealer, Fund manager
Claude (Anthropic)
Serves: RIA, Broker-dealer, Fund manager
Compliance Solutions Strategies
Comply (ComplySci)
New York, NY
Comply for RIA (formerly RIA in a Box)
CRC-Oyster
New York, NY; office in Wayne, Pennsylvania
Serves: Broker-dealer, RIA, Fund manager
FIN Group (FIN Compliance)
Serves: RIA, Broker-dealer, Fund manager
GiGCXOs
Serves: Broker-dealer, RIA
Greenboard
New York, NY · Founded 2023
Serves: RIA, Broker-dealer
Hadrius
New York, NY · Founded 2023
Intapp Employee Compliance (formerly Paragon Data Labs)
Palo Alto, California · Founded 2002
InvestorCOM
Serves: Broker-dealer, RIA, Fund manager
Luna Compliance
San Francisco, California
Serves: RIA
MyComplianceOffice
Compliance management covering employee compliance, transaction surveillance, third-party risk and regulatory obligations.
Dublin, Ireland
Myriad Advisor Solutions
Serves: RIA
NAVEX
Portland, Oregon
Ncontracts
Serves: RIA, Broker-dealer
NextReg Compliance
Serves: RIA, Broker-dealer, Fund manager
Norm Ai
Serves: RIA, Broker-dealer, Fund manager
Orion Compliance (Orion Advisor Solutions)
Patrina
New York, New York · Founded 1993
Serves: RIA, Broker-dealer
PerformLine
Serves: RIA, Broker-dealer, Fund manager
PINE Advisor Solutions
Serves: RIA, Fund manager
PTE CRPA
Serves: RIA, Broker-dealer
Quest CE
Milwaukee, Wisconsin
Serves: Broker-dealer
Red Oak (Red Oak Compliance Solutions)
Austin, Texas · Founded 2010
Redan Compliance
Serves: RIA
RegEd
Raleigh, North Carolina · Founded 2000
Serves: RIA, Broker-dealer
RegFin
Serves: RIA
RIA Compliance Technology
Arizona · Founded 2017
Serves: RIA, Broker-dealer
RIAFMS (DALS Technology)
Serves: RIA
Skematic
Serves: RIA
SmartRIA
Founded 2016
Serves: RIA, Broker-dealer
Softek Compliance Services
Serves: Broker-dealer, Fund manager
StarCompliance
Rockville, Maryland
SurgeONE.ai
Serves: RIA, Broker-dealer
Surveill
Serves: RIA, Broker-dealer
Trillions
Serves: RIA
Vendor & third-party risk management
ACA Group
Founded 2002
Buckler
Serves: RIA, Broker-dealer, Fund manager
Drawbridge
Serves: Private fund adviser (hedge, PE, VC), Fund manager
Greenboard
New York, NY · Founded 2023
Serves: RIA, Broker-dealer
MTradecraft
Dallas, Texas
Serves: RIA, Broker-dealer
MyComplianceOffice
Compliance management covering employee compliance, transaction surveillance, third-party risk and regulatory obligations.
Dublin, Ireland
NAVEX
Portland, Oregon
Ncontracts
Serves: RIA, Broker-dealer
NextReg Compliance
Serves: RIA, Broker-dealer, Fund manager
Redan Compliance
Serves: RIA
RegFin
Serves: RIA
Smarsh
SmartRIA
Founded 2016
Serves: RIA, Broker-dealer
ThirdNexa
Software for financial firms to manage vendor due diligence, risk reviews, incident records and exam evidence.
Chicago, IL
Trillions
Serves: RIA
Regulatory change management
Behavox
London; offices in New York, Washington, Montreal, Toronto, Tokyo and Milan · Founded 2014
Greenboard
New York, NY · Founded 2023
Serves: RIA, Broker-dealer
MyComplianceOffice
Compliance management covering employee compliance, transaction surveillance, third-party risk and regulatory obligations.
Dublin, Ireland
NAVEX
Portland, Oregon
Ncontracts
Serves: RIA, Broker-dealer
Norm Ai
Serves: RIA, Broker-dealer, Fund manager
RegEd
Raleigh, North Carolina · Founded 2000
Serves: RIA, Broker-dealer
Softek Compliance Services
Serves: Broker-dealer, Fund manager
KYC / AML
ACA Group
Founded 2002
Alessa
Ottawa, Canada · Founded 2006
Serves: Broker-dealer, RIA
ComplyAdvantage
London · Founded 2014
Serves: Broker-dealer, RIA
Core Compliance
San Diego, California · Founded 2006
Serves: RIA, Fund manager
CRC-Oyster
New York, NY; office in Wayne, Pennsylvania
Serves: Broker-dealer, RIA, Fund manager
FIN Group (FIN Compliance)
Serves: RIA, Broker-dealer, Fund manager
Hummingbird
San Francisco
Serves: Broker-dealer, RIA
LexisNexis Risk Solutions
Serves: RIA, Broker-dealer, Fund manager
MyComplianceOffice
Compliance management covering employee compliance, transaction surveillance, third-party risk and regulatory obligations.
Dublin, Ireland
Napier AI
London, United Kingdom
Serves: Broker-dealer, RIA, Fund manager
Nasdaq
Serves: Broker-dealer, Fund manager
NICE Actimize
Serves: Broker-dealer, Fund manager
Saifr
Boston, Massachusetts
Unit21
Serves: Broker-dealer
E-signature & recordkeeping
Cybersecurity & privacy compliance
ACA Group
Founded 2002
AI Guardian
Serves: RIA, Broker-dealer
Behavox
London; offices in New York, Washington, Montreal, Toronto, Tokyo and Milan · Founded 2014
Buckler
Serves: RIA, Broker-dealer, Fund manager
Compliance Solutions Strategies
Comply for RIA (formerly RIA in a Box)
Core Compliance
San Diego, California · Founded 2006
Serves: RIA, Fund manager
CyberSecureRIA
Serves: RIA
Drawbridge
Serves: Private fund adviser (hedge, PE, VC), Fund manager
FIN Group (FIN Compliance)
Serves: RIA, Broker-dealer, Fund manager
Fizen Technology
Serves: RIA
Havoc Defense
Serves: RIA
itSynergy
Serves: RIA
LeapXpert
New York, New York
Serves: Broker-dealer, Fund manager
Mimecast
London, United Kingdom · Founded 2003
MTradecraft
Dallas, Texas
Serves: RIA, Broker-dealer
Myriad Advisor Solutions
Serves: RIA
Proofpoint
Sunnyvale, California · Founded 2002
Riskigy
Serves: RIA, Broker-dealer
Security Basecamp
Serves: RIA, Broker-dealer
Smarsh
SurgeONE.ai
Serves: RIA, Broker-dealer
Vigilant (Vigilant Compliance)
Chadds Ford, Pennsylvania · Founded 2004
Serves: RIA, Fund manager, Broker-dealer
Consulting & outsourced CCO services
17a-4 LLC
New York, NY · Founded 2001
Serves: Broker-dealer
ACA Group
Founded 2002
AdvisorAssist
Marshfield, Massachusetts · Founded 2006
Serves: RIA
Broadridge Financial Solutions
New York
Serves: Broker-dealer, Fund manager
ClearView Regulatory Compliance, LLC
Serves: RIA, Private fund adviser (hedge, PE, VC)
Compliance Admins
Vendor-neutral compliance technology consulting for SEC- and FINRA-regulated firms
Chicago, IL · Founded 2024
Serves: RIA, Broker-dealer
Compliance Solutions Strategies
Comply (ComplySci)
New York, NY
Comply for RIA (formerly RIA in a Box)
Core Compliance
San Diego, California · Founded 2006
Serves: RIA, Fund manager
CRC-Oyster
New York, NY; office in Wayne, Pennsylvania
Serves: Broker-dealer, RIA, Fund manager
FIN Group (FIN Compliance)
Serves: RIA, Broker-dealer, Fund manager
GiGCXOs
Serves: Broker-dealer, RIA
MTradecraft
Dallas, Texas
Serves: RIA, Broker-dealer
NextReg Compliance
Serves: RIA, Broker-dealer, Fund manager
PINE Advisor Solutions
Serves: RIA, Fund manager
RIA Compliance Consultants
Omaha, Nebraska · Founded 2004
Serves: RIA
Riskigy
Serves: RIA, Broker-dealer
Security Basecamp
Serves: RIA, Broker-dealer
Vigilant (Vigilant Compliance)
Chadds Ford, Pennsylvania · Founded 2004
Serves: RIA, Fund manager, Broker-dealer
Training & Attestations
ACA ComplianceAlpha — eLearning and Education
ACA Group’s ComplianceAlpha eLearning solution for financial-services regulatory training and training oversight.
ACA Group
Founded 2002
AdvisorAssist
Marshfield, Massachusetts · Founded 2006
Serves: RIA
Comply (ComplySci)
New York, NY
Comply for RIA (formerly RIA in a Box)
Core Compliance
San Diego, California · Founded 2006
Serves: RIA, Fund manager
Docebo
Enterprise learning platform for employee training, onboarding and certification programs.
FIN Group (FIN Compliance)
Serves: RIA, Broker-dealer, Fund manager
FS Vector Headmaster
Financial-services compliance training, reporting and regulatory updates for fintech teams.
iSpring LMS
Employee learning platform with certificate-validity monitoring and automated training reassignment.
LMS Portals
Multi-tenant LMS with a compliance management module for separate client or business-unit training programs.
MTradecraft
Dallas, Texas
Serves: RIA, Broker-dealer
NAVEX
Portland, Oregon
Quest CE
Milwaukee, Wisconsin
Serves: Broker-dealer
Redan Compliance
Serves: RIA
RegEd
Raleigh, North Carolina · Founded 2000
Serves: RIA, Broker-dealer
RIA Compliance Consultants
Omaha, Nebraska · Founded 2004
Serves: RIA
Securities Training Corporation
Serves: Broker-dealer, RIA
Skillcast
Compliance training and policy management portal with assessments and reporting.
StarCompliance
Rockville, Maryland
TalentLMS
Cloud LMS with training delivery, course certificates and reporting.
Teachfloor
General-purpose LMS with a financial-services offering for training, attestations and reporting.
Traliant
Compliance course library and LMS for workplace and organizational compliance training.
Vigilant (Vigilant Compliance)
Chadds Ford, Pennsylvania · Founded 2004
Serves: RIA, Fund manager, Broker-dealer