About Us

RIA Compliance Technology was founded in 2017 by a financial advisor who realized the need for structure and organization throughout the compliance process; this realization began with frustration over complicated regulations, forgotten deadlines, and misplaced information. Today, we build Compliance Management Solutions for Registered Investment Advisory firms. Our technology helps streamline the compliance process, making submissions, data collection, and workflows easy.

Designed by compliance professionals, for compliance professionals. Our services optimize the compliance management process for Registered Advisory Firms and independent Advisors to meet regulation, collection, review, and archiving standards with a simple approach.

Our Mission

Our mission is to make the compliance process simple, structured, and organized through personalized solutions, so our clients can spend more time on what matters most to them.

Our Vision

Our world-class technology and customer service will optimize the future of compliance for RIA’s across the globe.

At RIA Compliance Technology, we ensure customer satisfaction by focusing on efficiency, transparency, and security, throughout the compliance process. With our solutions, these values look like:

Customized Compliance Dashboard

Simple Pricing

Prioritized Data Security

  • Advanced dashboard and interface visible at a glance
  • Most simplified employee submission dashboard in the industry
  • Reduced technology stack to simplify your process
  • Affordable Bundled Pricing
  • Customizable plans; only pay for what you need
  • No hidden fees
  • Your data is your property
    Data is secured with Amazon Web Services
  • Data is archived and tracked for audit purposes
  • We work with your IT staff to provide privacy and cybersecurity procedures