The All-in-One Compliance Platform for Financial Firms
AI-powered marketing compliance review, compliance workflows, ethics management, employee training, policy libraries, and exam-ready audit trails — everything your compliance team needs in a single platform.
12
Pending Reviews
98%
Training Complete
47
Policies Active
Marketing piece approved
Q1 Brochure — passed SEC Marketing Rule review
3 attestations due this week
Annual Code of Ethics certification
Form ADV amendment deadline
March 31 — Annual updating amendment
Built for compliance teams at every type of firm
Why Compliance Approved
Your Compliance Challenges, Solved
15,000+
SEC-registered investment advisers face compliance obligations
Stay audit-ready with built-in tracking and exports
82%
of state-registered RIAs have 1–2 employees
One platform replaces a team of manual processes
12+
compliance modules firms manage with spreadsheets
Replace every spreadsheet with one integrated system
Platform
Everything Your Compliance Team Needs
One platform for every compliance workflow — from document review to ethics management, training to audit readiness.
How It Works
Up and Running in Minutes
01
Set Up Your Firm
Configure your registration type, compliance rules, policies, and team roles in minutes
02
Run Your Program
Manage reviews, training, attestations, ethics disclosures, and deadlines from one dashboard
03
Stay Exam-Ready
Every action is logged. Generate comprehensive audit exports with a single click
Pricing
Simple, Transparent Pricing
No hidden fees. No per-user surprises. One platform, everything included.
Starter
- Up to 5 users
- 10 Marketing Reviews/month
- 20+ Policy Templates
- 10+ Training Modules
- Audit Trail
Professional
- Up to 25 users
- 100 Marketing Reviews/month
- Pre-Built Compliance Library
- Custom Training Upload
- Dashboard Analytics
Enterprise
- Up to 75 users
- 500 Marketing Reviews/month
- Full Template Library
- SSO/SAML Integration
- Dedicated Support
Compliance Approved Services
Need a Compliance Partner,
Not Just Software?
Flat-rate pricing. Platform included. Real CCO experience from a practitioner managing a $2B AUM program.
Our team brings real-world CCO experience from managing compliance programs at RIA firms. Whether you need a fractional CCO, exam prep, or a full compliance program — we handle it.
Essential Compliance Partner
Ongoing support + Starter platform (5 hrs/mo)
Dedicated Compliance Partner
Your compliance partner + Professional platform (15 hrs/mo)
Fully Outsourced CCO
Comprehensive compliance program administration and support + Enterprise platform (25 hrs/mo)
Why firms choose our services
- Real CCO experience — not consultants who left the industry years ago
- Platform access included with every retainer — one vendor, one invoice
- Flat-rate pricing — no billable hour surprises
- SEC & state exam experience — we know what examiners look for
- Built for small & mid-size firms — we understand your budget
Hourly consulting also available at $275/hr. No retainer required.
Security
Security Built Into Every Layer
Your compliance data deserves the highest level of protection.
AES-256 Encryption
Data encrypted at rest and in transit with TLS
Role-Based Access
8 granular roles from Employee to Super Admin
Complete Audit Trail
Every action logged and timestamped
Multi-Tenant Isolation
Firm data fully isolated with tenant-scoped access controls
Session Management
Automatic timeout and token refresh
US Data Residency
All data stored in US data centers on GCP
Ready to transform your compliance workflow?
Be among the first to experience AI-powered compliance technology.