About Us

Designed By Compliance Professionals, For Compliance Professionals.

RIA Compliance Technology was founded in 2017 by a compliance professional who had experienced enough wasted hours, missed deadlines, and outdated systems to know there had to be an easier way.

Creating these platforms is our way to not only simplify our own compliance processes, but to make the compliance process simple for compliance officers everywhere.

Having worked with over 400 RIAs and Broker Dealers, our mission is clear: eliminate friction at every stage of the compliance lifecycle. From regulatory submissions to document archiving and advisor oversight, our platforms help RIAs, independent advisors, and consulting firms stay compliant without spending their valuable time.

Audit-ready compliance made simple, structured, and organized.