Your Compliance Practice, Powered by One Platform
Manage every client's compliance program from a single dashboard. Automate the repetitive work. Deliver audit-ready results. Scale your practice without scaling your overhead.
Built by people with real CCO experience. Compliance Approved was created by compliance professionals who have managed RIA compliance programs firsthand — not by engineers guessing what compliance consultants need.
Challenges Compliance Consultants Face
We built this platform to solve the problems we experience ourselves.
Managing Compliance Across Multiple Clients
As a compliance consultant or fractional CCO, you juggle 5, 10, even 20+ client firms — each with different registration types, state requirements, and exam schedules. Spreadsheets and email threads do not scale.
One platform to manage all your clients. Separate workspaces for each firm, unified dashboard for your entire book of business, and automated deadline tracking across every client.
Time Spent on Repetitive Compliance Tasks
Policy drafting, attestation collection, marketing review, and Form ADV tracking eat hours every week — time you could spend on higher-value advisory work.
AI-powered workflows automate the repetitive work. Marketing materials get pre-screened before you review them. Attestations go out and get collected automatically. You focus on judgment calls, not paperwork.
Compliance Tools That Price You Out
Enterprise compliance platforms charge $20K-$50K per year per firm. When you serve 10 clients, you are either passing that cost through (making you uncompetitive) or eating it (killing your margins).
Compliance Approved is 65-84% cheaper than legacy enterprise platforms. Our Professional plan covers up to 25 users for $5,389/year — making it economically viable to put every client on the platform.
Demonstrating Value to Clients
Clients want to see what they are paying for. Without a platform, your work product is scattered across emails, shared drives, and Word documents that are hard to present during exams.
Every action is logged with a full audit trail. When a client faces an exam, you pull up their complete compliance history — reviews, attestations, policy acknowledgments, training records — in one place.
Built for Multi-Client Compliance Operations
Features designed for consultants managing compliance across multiple firms.
Multi-Client Dashboard
See all your clients' compliance status at a glance. Color-coded alerts for overdue items, upcoming deadlines, and exam preparation needs.
Templatized Workflows
Build compliance workflows once, deploy them across all client firms. Policy templates, attestation schedules, and review processes that scale.
Client Reporting
Generate professional compliance reports for each client — quarterly reviews, annual summaries, and exam-ready documentation packages.
White-Label Option
Enterprise plan includes white-label branding so the platform carries your firm's name and logo when clients log in.
AI Pre-Screening
AI reviews marketing materials and documents before they reach you, flagging potential issues and citing specific regulations. You review the exceptions, not everything.
Built-In Consulting Tools
Time tracking, engagement management, and invoicing integrations so you can manage your consulting practice alongside your compliance workflows.
How Consultants Use Compliance Approved
Whether you serve 3 clients or 30, the platform scales with your practice.
Fractional CCO
You serve as the designated CCO for multiple small RIA firms. Each needs a full compliance program but cannot afford a dedicated hire.
Run all your client programs from a single platform. Separate workspaces keep each firm's data isolated while your dashboard gives you a unified view.
Independent Compliance Consultant
You provide compliance consulting services — mock exams, policy reviews, annual assessments — on a project or retainer basis.
Use the platform as your operating system. Conduct reviews, track findings, assign action items, and generate deliverables — all within a documented, auditable workflow.
RIA Compliance Firm
Your firm provides outsourced compliance services to dozens of advisory firms, with a team of compliance professionals.
Enterprise plan with unlimited users, multi-entity support, and API access. Your team collaborates across client workspaces with role-based permissions and centralized reporting.
Need a Compliance Partner, Not Just Software?
We offer hands-on compliance services alongside the platform, backed by real CCO experience.
Compliance Consulting Services
Beyond the platform, we offer direct compliance consulting from professionals who understand the day-to-day realities of running an RIA compliance program.
Hourly Consulting
$275/hr
On-demand compliance guidance
Fractional CCO
$3,500/mo
Up to 15 hrs/mo + Professional platform
Pricing That Works for Consultants
Put each client on their own plan, or use Enterprise with multi-entity support to manage everyone under one account. Volume pricing available for consultants managing 5+ client firms.
Ready to scale your compliance practice?
Join the waitlist or talk to our team about consultant pricing.