Simple, Transparent Pricing
Two ways to work with us: the platform for self-service compliance, or hands-on consulting from a team with real CCO experience.
Essentials
For solo advisors and firms with 1–5 employees.
- Up to 5 users
- 10 AI Marketing Reviews/month
- Policy library & version control
- 20+ pre-built policy templates
- 10+ pre-built training modules
- Code of ethics & personal trading
- Attestation management
- Form ADV tracking & reminders
- Regulatory calendar
- State + SEC rule coverage
- Email support
Professional
For growing firms with 6–25 employees. Our most popular plan.
- Up to 25 users
- Everything in Essentials, plus:
- 100 Marketing Reviews/month
- Pre-built compliance library
- Custom training upload (PDF, DOCX, video)
- OBA & gift/entertainment tracking
- Training module management
- Communications oversight
- Audit trail & exam preparation tools
- Multi-reviewer workflows
- Dashboard analytics
- Priority support
Enterprise
For firms with 26–75 employees, dual registrants, and multi-office.
- Up to 75 users
- Everything in Professional, plus:
- 500 Marketing Reviews/month
- Full template library with customization
- SSO/SAML integration
- Custom branding (white-label)
- API access
- Advanced reporting & exports
- Dedicated account manager
- Custom compliance workflows
- Multi-entity support
- SLA guarantee (99.9% uptime)
- Onboarding assistance included
All plans include free onboarding. Live in minutes, not months.
Standalone Product
AI Marketing Compliance Review
Don't need a full compliance platform? Submit marketing materials for AI-powered SEC rule analysis on demand — no subscription required.
- AI Marketing Compliance Review
- SEC Marketing Rule Analysis
- Compliance Findings & Suggested Edits
- Disclosure Gap Analysis
- Review History & Audit Trail
- Up to 3 users
- Email support
Optional
Plan Add-Ons
Extend your subscription only if you need to. No pressure.
Additional Marketing Reviews
+200 additional Marketing Reviews/month
Consulting Hours
On-demand compliance consulting
Not just software
Need Hands-On Compliance Help?
Our team brings hands-on CCO experience to every engagement. We offer retainer packages, project-based work, and hourly consulting — all with platform access included.
View All ServicesServices Overview
Retainer Packages
Fixed monthly rates. Platform access included. Cancel after 3-month minimum.
Essential Compliance Partner
5 hrs/mo + Essentials platform access
Best for small RIAs and solo advisors who need reliable compliance support
Dedicated Compliance Partner
15 hrs/mo + Professional platform access
Best for growing RIAs without a full-time CCO
Fully Outsourced CCO
25 hrs/mo + Enterprise platform access
Best for firms looking to outsource day-to-day compliance operations
Project-Based Engagements
One-time compliance projects, invoiced on completion.
Full Feature Comparison
| Feature | Essentials | ProfessionalPopular | Enterprise |
|---|---|---|---|
| Core Platform | |||
| Policy Library & Version Control | |||
| Pre-Built Policy Templates (20+) | |||
| Pre-Built Training Modules (10+) | |||
| Custom Training Upload | |||
| Attestation Management | |||
| Code of Ethics & Personal Trading | |||
| Form ADV Tracking & Reminders | |||
| Regulatory Calendar | |||
| Audit Trail & Logging | |||
| State + SEC Rule Coverage | |||
| Compliance Workflows | |||
| AI Marketing Reviews | 10/mo | 100/mo | 500/mo |
| AI Document Analysis | 10/mo | 100/mo | 500/mo |
| OBA & Gift/Entertainment Tracking | |||
| Training Module Management | |||
| Communications Oversight | |||
| Multi-Reviewer Workflows | |||
| Dashboard Analytics | |||
| Exam Preparation Tools | |||
| Enterprise | |||
| SSO/SAML Integration | |||
| White-Label Branding | |||
| API Access | |||
| Custom Compliance Workflows | |||
| Multi-Entity Support | |||
| Dedicated Account Manager | |||
| SLA Guarantee (99.9%) | |||
Frequently Asked Questions
Still have questions?
Book a 15-minute call with our team. No pressure, no obligations.