Enterprise Compliance

Search the network of Compliance Solution providers for the financial services industry.

Advanced Regulatory Compliance Inc.
415 N. Camden Drive, Ste. 121
Beverly Hills, CA 90210
Phone: (310) 275-7300
Email: pburns@advreg.com
Website: www.advreg.com
Advanced Regulatory Compliance, Inc. is a dynamic new organization formed to help investment advisory firms, broker-dealers and their representatives meet ever-changing compliance and regulatory obligations. Our practice is national in scope and able to meet the compliance and regulatory needs of clients nationwide. We offer personalized and tailored compliance/ regulatory advice to address each firms or representative’s unique way of doing business. Our consultants have years of experience working with independently registered investment advisers, independent broker-dealers and their representatives.

BackOffice Alliance LLC 

227 Deerwood Bend
Charlottesville, VA 22911

Phone: (877) 306-9262
Email: sales@backofficealliance.com
Website: www.backofficealliance.com
Contact: Susan L. Silva, Managing Director and Business Development

BackOffice Alliance LLC is an innovative regulatory consulting firm specializing in SEC and FINRA compliance requirements for investment advisers, broker-dealers, investment companies, and hedge funds. We provide a cost effective “needs-based” compliance and operations solution through our unique automated process to enable you to utilize your capital and resources where it is needed – “growing your business”. Whether you are a start-up or a seasoned veteran who understands that compliance risks can jeopardize your entire firm, our experienced compliance staff is able and ready to protect you. Collectively we represent over 100 years of regulatory, operational and technical experience.
t over 100 years of regulatory, operational and technical experience.

CCH Compliance Tools Inc.

14 Wall Street, 26 Floor
New York, NY 10005

Phone: (212) 619-4000
Email: CTISupport@cch.com
Website: www.compliancetools.com

CCH Compliance Tools division is the leading provider of state of the art technology to organizations who need to manage their compliance exposure. We have years of experience building and integrating compliance technology. Our product designs and architectural schema have influenced the most widely installed compliance systems on the Street, adding significant value at leading client firms.

Cipperman Compliance Services

Outsourced Chief Compliance Officer Services
500 East Swedesford Rd., Suite 104
Wayne, PA  19087

Phone:  610-687-5344
Email: nfilippo@cippermancs.com
Website:  www.cippermancs.com

Cipperman Compliance Services provides outsourced Chief Compliance Officer services to registered investment managers and registered funds.  We can either fully outsource your compliance function by designating one of our professionals as your CCO, or we can provide supplemental resources to your in-house CCO.  Our team has significant experience and expertise in creating, implementing and maintaining rigorous compliance programs.

Our clients range from emerging managers to well established investment firms, and are geographically dispersed across the US.  We are not merely compliance consultants.  Rather, we create a customized program for every client and do the heavy lifting to manage your compliance program, so you can focus on portfolio management, client service and prospecting for new business.  Please contact us to find out how we can help you manage your compliance program.

Comprehensive Securities Compliance Solutions, Inc.

142 Eastview Drive
Post Office Box #5300
Emerald Isle, NC 28594-1905

Phone: (877)614-6075
Email: info@cs2compliance.com
Website:  www.cs2compliance.com

CS2 supports enterprises of all scale engaged in investment advisory, FINRA/NFA broker-dealer, hedge fund and other alternative assets, family wealth office, and insurance activities. Our firm is comprised of a seasoned team of former in-house professionals that have actual experience serving on registered investment advisers and broker/dealers staffs in roles that include chief compliance officer, AML officer, and regional and OSJ compliance principals. Our backgrounds also include operations management, FinOp support, due diligence, legislative and regulatory affairs, licensing and registration support.

CS2 provides compliance expertise without the associated costs of employing full-time staff. From start-up to continuous support, our clients are located throughout the US where we provide them support on site or remotely via secure technology — at a reasonable cost due to our low overhead. Guidance and support to your firm drawn from the practical, day-to-day knowledge and experience of ours.

Erado Message Control Solutions

321 Burnett Ave.S. Suite 100
Renton, WA. 98057

Phone: (866) 673-7236
Email: sales@erado.com
Website: www.erado.com

Erado – where best practices of compliance and marketing merge. Erado delivers all the elements of an integrated compliance and marketing platform to customers worldwide with its Elements™ Compliance Platform. The Elements Compliance Platform provides archiving, analytics, security, and hosted services for real-time management; and contextual capture of all electronic communications, across all communication channels. To discover how to leverage your compliance efforts for lead generation, contact us today.

Financial Registrations, Inc.

25602 Alicia Parkway #107
Laguna Hills, CA 92653

Phone: (800) 641-1818
Email: bmiller@financialregistrationsl.com
Website: www.financialregistrations.com

Financial Registrations, Inc. provides securities registration and compliance regulation consulting services to broker/dealers and investment advisers.


Big Brain Works, LLC.
140 West Gay St, Suite 300
West Chester, PA 19380

Phone: 888-824-4477
Email: info@grendelonline.com
Website: www.grendelonline.com

Grendel is a sophisticated online solution designed specifically for financial advisors. It integrates all the tools a practice needs to stay ahead of the curve in one easy to use package. With Grendel, advisors have access to unlimited account aggregation, an advanced CRM, a compliant paperless office solution, client portal, and practice management tools. Control your monsters with Grendel and increase compliance, reduce costs, and generate more revenue! Grendel also has a supervisory module available for broker/dealers. This allows the b/d to remotely audit their advisors, unify compliance management, manage retention policies, maintain comprehensive records, access all advisor files instantly, and more. Grendel even automates many of these functions and proactively notifies the supervisor of potential issues.


softTarget Inc.
139, Dresden Avenue
Montreal, Quebec H3P 3K1

Phone: (514) 340-1414
Email: info@softTarget.com
Website: www.softTarget.com

softTarget’s iBalanceTM Wealth Management platform integrates compliance management, portfolio modeling, strategic portfolio rebalancing, workflow automation and reporting. It drastically improves efficiency and control while helping reducing costs. It provides the ability to react quickly, precisely and consistently while delivering personalized and increasingly complex portfolio management services. You can achieve pre-trade / just-in-time compliance, family portfolio management, active tax management, etc. It can integrate with an existing back office system and feed the trading system of your choice, preserving your technology investments.

Investment Care Consulting Group

16400 Ventura Blvd., Suite #308
Encino, CA 91436

Phone: (818) 386-6900
Email: info@investmentcare.com
Website: www.investmentcare.com

InvestmentCare Consulting Group is dedicated to providing efficient means to accessing accurate information in the areas of securities compliance, regulatory guidelines, solicitation and disclosure requirements, investor education and protection. More specifically, we offer broker/dealer services which focus on securities consulting and compliance research to include NASD/SEC/MSRB/PCX/ AMEX/PHX/CBOE/NYSE rule citations, Supervisory Procedures and audit reviews. We also offer individual investor services which focus on investor education and awareness of investment guidelines and broker/dealer requirements for a better understanding of the regulatory process.

IPS AdvisorPro®

10 Emerson Lane, Suite 801-3
Bridgeville, PA 15017

Phone: (330) 724-7145
Email: IPSAdvisorProSales@fi360.com
Website: www.IPSAdvisorPro.com

IPS AdvisorPro®, a product of fi360, Inc., is award-winning online technology designed to help advisors create and manage fully customized Investment Policy Statements (IPS) unique to their processes and procedures, and the circumstances of each client.  Flexible, quick and easy to use, the application includes IPS templates addressing eight specific client types — each with corresponding questionnaires.

Founded by industry thought leaders Norm Boone, MBA, CFP® and Linda Lubitz Boone, CFP®, authors of Creating an Investment Policy Statement: Guidelines and Templates (FPA Press), IPS AdvisorPro® is the leading IPS technology solution for wealth management professionals to help systematize and standardize their investment process.  Current software integrations include, MoneyGuidePro™ (Financial Planning), Redtail Technology (CRM), and FinaMetrica (Risk Profiling).

LiveOffice Advisor Mail

LiveOffice LLC
2780 Skypark Drive, Suite 300
Torrance, CA 90505

Phone: (800) 251-3863
Email: liveofficesales@liveoffice.com
Website: www.liveoffice.com/archiving/advisormail.asp

LiveOffice AdvisorMail is the leading email archiving, compliance and discovery solution for financial services firms of all sizes. With more than 10 years of experience and billions of messages archived, AdvisorMail is the most trusted email compliance system in the industry today.


61 West Palisade Avenue
Englewood, NJ 07631

Phone: (201) 705-1200
Email: sales@marketcounsel.com
Website: www.marketcounsel.com
Contact: Brian Hamburger, President and Chief Executive Officer

MarketCounsel is the leading business and regulatory compliance consulting firm to the country’s preeminent entrepreneurial, independent investment advisors. Our comprehensive services deliver sound business solutions in areas advisors find most challenging: regulatory compliance and practice management. The firm brings together some of the industry’s best and brightest talent, an oversized investment in technology, a rigid emphasis on business process and continuous improvement, a vision for the future of the business of independent investment advice and wraps it all in an amazing culture that unleashes our people to be passionate about our clients’ success.

Whether it’s the launch of a new investment advisor through the RIA Incubator program to the leveraged solutions of the RIA Institute, MarketCounsel’s service platform consistently delivers on the promise of extraordinary service and trusted counsel to meet, anticipate and exceed the needs of our exacting clients.


5025 Orbitor Drive Building 3, Suite 300
Mississauga, Ontario L4W 4Y5

Phone: (905) 629-7775
Email: sales@metalogic-inc.com
Website: www.metalogic-inc.com

metaLogic, established in 1997, is focused on collaboration, content management, and compliance solutions that leverage IBM middleware and open source products. Our email management and compliance products extend Lotus Notes to provide end-user archiving, compliance archiving, real-time email policy enforcement, discovery, and email content rationalization. Enforcer, our flagship archiving solution, is built for Lotus Notes but integrates open source components (Postgres, Jetty, Lucene, and SOLR).

We also have a java-based forms integration product (Formlet Factory) that makes it easy to connect electronic forms to existing back-end databases. Our professional services team has expertise with the Lotus Notes Domino family of products, Lotus Forms, Websphere Portal, Liferay Portal, Tomcat, Jetty, Postgres, MySQL, Lucene, and many open source solutions. The team has extensive experience managing and delivering large-scale, complex development and migration projects. In 2001, metaLogic was named a Mississauga Business of the Year. Mississauga, the sixth largest city in Canada, is located just outside Toronto.

National Compliance Services

355 NE 5th Avenue, Suite 4
Delray Beach, FL 33483

Phone: (800) 800-3204
Email: info@ncsonline.com
Website: www.ncsonline.com

We are industry leaders in investment adviser registration, broker dealer registration, IARD filing services and compliance services. NCS offers full service registration and continuing compliance services for NASD, SEC, State, and Agent registrations. NCS is well prepared to assist both State and SEC Registered Investment Advisers and Broker Dealers with their compliance needs. We have been working with advisers and broker dealers since 1995 and currently service over 5,000 clients. We have compliance specialists and attorneys on staff to assist firms and individuals with their compliance needs.

National Regulatory Services

323-A Main Street
P.O. Box 71
Lakeville, CT 06039

Phone: (860) 435-0200
Email: info@nrs-inc.com
Website: www.nrs-inc.com 

As the nation’s leading registration and compliance consulting firm, National Regulatory Services provides products and services to over 6,000 clients in 6 countries, including such companies as Fidelity Investments, American Express Financial, Salomon Smith Barney, John Hancock, and Fleet Bank .

NRS is best known for its outstanding compliance experience and its working relationship with regulators. NRS employs over 50 compliance experts, with a branch office in the Boston area. The firm’s four divisions: Investment Adviser, Broker/Dealer, Investment Company, and Insurance, offer assistance to those just entering the market as well as ongoing services for those companies with established track records.

NewRiver, Inc.

200 Brickstone Square, 5th Floor
Andover, MA 01810
Phone: (800) 481-2331

Email: information@newriver.com
Website: www.newriver.com

NewRiver, Inc. enables financial services institutions to deliver regulatory compliant communications to their investors electronically, or through print on demand, at each stage of an investment relationship. Our products enable financial services institutions to comply with regulatory requirements to deliver current prospectuses, reports, supplements and other communications to investors. We use our proprietary technology to capture, organize, maintain and deliver all filings made electronically with the U.S. Securities and Exchange Commission through the Electronic Data Gathering, Analysis and Retrieval System, or EDGAR.

OneSecure Data Archiving & Compliance

Offices in L.A., Orange County and Boston

Phone: (800) 851-9195
Email: info@onesecureit.com
Website: www.onesecureit.com

OneSecure Technology helps firms of all sizes meet regulatory requirements for the capture, archive, search and monitoring of email, Instant Message, and Social Media messages. Our solution can be implemented in as little as one business day and is designed to work with any email, IM or messaging platform. No IT person, software, hardware or technical know-how needed!

Our world-class Support Team not only provides around the clock technical support, but also full service compliance support for Broker Dealers, Registered Investment Advisors, Hedge Funds, Banks and Credit Unions. We can also offer solutions for web design & hosting, enterprise email hosting, continuity and disaster recovery solutions, online backup, CRM, message encryption and endpoint / network / data / web security.

RIA Compliance Consultants

1905 Harney St., Ste. 530
Omaha, NE 68102

Phone: (877) 345-4034
Email: bhill@ria-compliance-consultants.com
Website: www.ria-compliance-consultants.com

RIA Compliance Consultants provides registration and renewal services, mock exams, document reviews, compliance program assessments, and more. RCC collaborates with investment advisors to identify regulatory and risk management challenges. We then work with them to build and implement practical solutions that protect their clients while meeting their regulatory responsibilities.

RIA in a Box

15 West 26th St., 4th Floor
New York, NY 10010

Phone: 866-611-7638
Email:  info@riainabox.com
Website: www.riainabox.com

RIA in a Box is a leading compliance consulting firm offering registration and ongoing compliance services to registered investment advisory firms (RIAs) throughout the United States. Our mission is to enable fellow entrepreneurs to establish their own firms and remain in compliance with regulatory guidelines. Our on-going monthly compliance services packages are designed to fit every investment adviser’s budget and range from $99 to $1,845 per month. We are staffed by ex-state regulators and believe we offer incredible value that can’t be matched.

SEC Compliance Consultants Inc.

Phone: (215) 925-2284
Email: info@seccc.com
Website: www.seccc.com

SECCC provides compliance consulting services to a wide range of financial institutions nationwide, including state and federally registered investment advisers, broker-dealers, investment companies, transfer agents, and banks.


535 West 34th Street
New York, NY 10001

Phone: (646) 792-2626
Email: sales@singlecast.com
Website: www.singlecast.com

Singlecast provides critical solutions that enable corporate oversight and control over enterprise communications including email, instant messages and the Web. Singlecast’s flagship product, Singlecast Compliance Manager, is the only centrally managed platform to deliver supervision and monitoring, proactive policy enforcement, and information discovery capabilities via a collaborative and secure web-based interface.

Smarsh, Inc. 

921 SW Washington Street. Suite 540
Portland, OR 97205

Phone: (866) 762-7741
Email: info@smarsh.com
Website: www.smarsh.com

Smarsh® is a leading managed service provider of innovative, secure, and reliable email-archiving solutions for message compliance and records retention, proactive litigation readiness and mail server data management. Founded in 2001, the company has built its trusted reputation by handling the sophisticated archiving needs of the financial services industry, and has produced a flawless regulatory audit track record to show for it. Smarsh’s email archiving software-as-a-service (SaaS) is also implemented as a proactive complement to e-discovery, offering an efficient and cost-effective alternative to the traditional reactive process, and as a robust email management tool.

Smarsh offers a full-service suite of products and services. The proprietary automated email review agent, the Virtual Compliance Officer®, sets the standard for efficiency in email supervision. The VCO features a data leak prevention module that integrates with the email archive and prevents important corporate knowledge and communication from leaving (or entering) the organization.

Spam Soap, Inc.

3193 Redhill Ave
Costa Mesa, CA 92626

Phone: (866) 772-6688
Email: info@spamsoap.com
Website: www.spamsoap.com

With no hardware or software to install, Spam Soap Message Archiving provides an on-demand email archiving and surveillance solution for SEC and FINRA compliance. Minimize costs and risks, simplify archiving and surveillance, enforce corporate email policies, increase employee productivity and safeguard business integrity. Prevent non-compliant emails from being sent with outbound message interception. Earn recurring revenue as a Partner.


5671 Gibraltar Drive
Pleasanton, CA 94588

Phone: (800) 636-0095
Email: info@zantaz.com
Website: www.zantaz.com

ZANTAZ® is a leading provider of Compliance Technology Solutions™ that enable clients to comply with industry regulations, respond to urgent litigation and regulatory audits, and mitigate the risks associated with today’s complex legal and regulatory environment. ZANTAZ offers a full suite of compliance technology and electronic discovery solutions and services.

Through extensive technology and records management expertise, proven digital archiving and content management services, and highly scalable technology, ZANTAZ delivers customer-driven solutions with a high level of security and confidentiality. These solutions enable clients to decrease liabilities, reduce costs and ensure regulatory compliance, corporate integrity and responsibility.

ZipLip Unified Email Archival Suite

2127 Zanker Road,
San Jose, CA 95131

Phone: (408) 200-8989
Email: sales@ziplip.com
Website: www.ziplip.com

The ZipLip Unified Email Archival Suite provides complete email archiving and management for companies using Notes/Domino, Exchange, Groupwise, Bloomberg, etc. It provides scalable storage of email data, content management, regulatory compliance, lifecycle management, performance enhancement, hierarchical search and discovery, email continuity and disaster response. It enables: • Compliance with regulations – complete email capture and archiving, pre and post-review capabilities • Storage and retention management • Enhanced search and Legal Discovery • Improved server performance.