Compliance Software Built for Registered Investment Advisors
Purpose-built compliance technology that understands the unique regulatory landscape RIAs face — from the Marketing Rule to annual reviews to SEC exam prep.
We Understand Your Pain Points
Running an RIA means juggling advisory work with an ever-growing list of compliance obligations. Here's how Compliance Approved helps.
The Problem: No Dedicated CCO
Many RIAs operate without a full-time Chief Compliance Officer, leaving compliance responsibilities spread thin across multiple team members.
How CA Solves It
Compliance Approved acts as your always-on compliance co-pilot. AI-powered workflows guide you through every obligation so nothing falls through the cracks, even without a dedicated CCO.
The Problem: Marketing Rule Compliance
The SEC Marketing Rule (206(4)-1) introduced complex requirements for advertising, testimonials, endorsements, and performance presentation.
How CA Solves It
Our AI-powered review engine scans every piece of marketing material against Marketing Rule requirements, flagging issues before they become violations.
The Problem: ADV Filing & Updates
Keeping Form ADV accurate and filing amendments on time is a constant burden, especially during annual updating periods.
How CA Solves It
Automated reminders, change tracking, and guided workflows ensure your ADV is always current and filed on schedule.
The Problem: Annual Compliance Review
Rule 206(4)-7 requires an annual review of your compliance program, but building and documenting a thorough review is time-consuming.
How CA Solves It
Compliance Approved generates a structured annual review framework, tracks completion of each element, and produces audit-ready documentation.
The Problem: SEC Exam Readiness
When the SEC comes knocking, scrambling to gather documents and demonstrate your compliance program is stressful and risky.
How CA Solves It
Maintain a continuous state of exam readiness with centralized document storage, complete audit trails, and one-click exam preparation packages.
Everything an RIA Needs in One Platform
Stop stitching together spreadsheets, shared drives, and email reminders. Compliance Approved brings it all together.
Built for Firms of Every Size
Whether you are a solo advisor managing your own compliance or a large RIA with a dedicated compliance team, Compliance Approved scales to fit your needs. Our flexible platform adapts to your firm's size, complexity, and regulatory profile.
Solo Advisors
Guided workflows that make compliance manageable without a dedicated team
Growing Firms
Scalable tools that grow with your team and AUM
Enterprise RIAs
Multi-office support, advanced reporting, and custom workflows
Ready to transform your compliance workflow?
Be among the first to experience AI-powered compliance technology.