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
Compliance Approved gives you curated, state-by-state rule and deadline references for the states where you are registered, so multi-state requirements are easier to follow.
The Problem: No Dedicated Compliance Staff
76% of state-registered RIAs have two or fewer 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 shows adoption status across all states, with state-by-state comparison tools to see where each rule stands.
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
In-app Exam Readiness counts your firm's records against a standard 34-request document list, and our public state resource guides cover each state's regulator, rules, and fees.
Platform Features
State-by-State Compliance Tools
Every feature is designed with state-registered RIA requirements in mind.
State-by-State Rule Reference
Curated rules, fees, and registration requirements for each state where you are registered.
50-State Rule Library
Maintained reference data covering investment-adviser rules and registration requirements across all 50 states and territories.
NASAA Model Rule Library
Complete library of model rules with state adoption status and comparison tools.
Exam Readiness
A standard 34-request exam document list, counted against your firm's own records so you can see gaps before an exam.
Multi-State Registration
Manage compliance across multiple state registrations from a single dashboard.
State-RIA Requirements Matrix
A state-RIA policy requirements matrix with templates filtered by your regulator, plus the NASAA rule library and per-state resource guides.
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 Essentials tier is designed specifically for sole practitioners and small firms. Get enterprise-grade compliance tools at a price that works for your practice.
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