Compliance Software Built for State-Registered RIAs
Purpose-built for the 16,575+ state-registered RIA firms navigating the complex patchwork of state securities regulations, NASAA model rules, and state examinations.
Source: NASAA 2025 Investment Adviser Section Annual Report (end of 2024 data)
We Understand Your Challenges
State-registered RIAs face unique compliance challenges that generic platforms don't address.
The Problem: State-by-State Regulatory Variation
Each state has its own securities laws, exam procedures, and rule interpretations. Keeping track of requirements across multiple jurisdictions is overwhelming.
How CA Solves It
Our state-aware compliance engine automatically tracks the specific rules and deadlines for every state where you are registered.
The Problem: No Dedicated Compliance Staff
82% of state-registered RIAs have 1–2 employees, according to NASAA. Most lack a full-time CCO, leaving compliance duties spread across advisory staff.
How CA Solves It
Compliance Approved acts as your compliance co-pilot — guided workflows make it possible to manage compliance without a dedicated team.
The Problem: NASAA Model Rule Differences
States adopt NASAA model rules at different paces and with varying modifications, creating a patchwork of requirements.
How CA Solves It
Our NASAA model rule library tracks adoption status across all states and alerts you when your states update their rules.
The Problem: State Exam Preparation Burden
State examiners follow their own procedures and focus areas. Preparing for a state exam without understanding local priorities is risky.
How CA Solves It
State-specific exam preparation guides, checklists, and common deficiency reports so you know exactly what your state examiner will look for.
Platform Features
State-Aware Compliance Technology
Every feature is designed with state-registered RIA requirements in mind.
State-Aware Compliance Engine
Automatically applies your state's specific rules and requirements to every compliance workflow.
Automated State Rule Tracking
Real-time monitoring of regulatory changes across all 50 states and territories.
NASAA Model Rule Library
Complete library of model rules with state adoption status and comparison tools.
State Exam Preparation
Targeted preparation tools based on your state examiner's known focus areas.
Multi-State Registration
Manage compliance across multiple state registrations from a single dashboard.
State-Specific Reporting
Generate reports tailored to your state regulator's requirements and formats.
Find Your State
State-Specific Compliance Guides
Select your state to see the specific regulatory requirements, exam procedures, and compliance resources for your jurisdiction.
Affordable Compliance for Solo Practitioners
Our Solo tier is designed specifically for sole practitioners and small firms. Get enterprise-grade compliance tools at a price that works for your practice.
Don't Have a CCO? We Can Help.
82% of state-registered RIAs have just 1–2 employees. If you don't have dedicated compliance staff, our consulting services give you expert support at a fraction of the cost of a full-time hire.
Compliance Assist
Up to 8 hrs/mo of expert compliance support plus Starter platform access.
Ideal for: Solo practitioners & firms with 1–5 employees
Fractional CCO
Up to 15 hrs/mo acting as your outsourced Chief Compliance Officer with Professional platform access.
Ideal for: Growing firms that need a named CCO
Full Program
Up to 25 hrs/mo managing your entire compliance program with Enterprise platform access.
Ideal for: Multi-state firms or those preparing for exams
Ready to transform your compliance workflow?
Be among the first to experience AI-powered compliance technology.