Compliance vendor directory for advisers
Compliance vendors for RIAs and broker-dealers, sorted into archives, messaging apps, CRMs, compliance platforms, surveillance tools and consultants. This is AdviserDeck's own index, built from each vendor's own website as we read it on October 22, 2026. It is not a regulator's list: FINRA retired its Compliance Vendor Directory effective March 19, 2024, and no regulator endorses the vendors named here. A listing is not a recommendation: vendors appear in alphabetical order, with no ranking, ratings or prices, and our verdicts, with each vendor read against the rule, live on the comparison pages linked from each vendor's card. For the rule itself, read our guide to RIA compliance.
Read October 2026, 50 vendors in 6 categories
Categories
- Communications archiving vendors15 vendorsVendors that capture and keep email, text, social and chat messages for advisers and broker-dealers.
- Compliant texting and messaging apps6 vendors, 4 more listed under other categoriesTexting and messaging apps built so a firm can keep and supervise every client message.
- Adviser CRM vendors11 vendorsCRMs built for advisers and reps, with the record-keeping features each one says it has.
- RIA and broker-dealer compliance platforms8 vendors, 2 more listed under other categoriesPlatforms for policies, reviews, code-of-ethics reports and supervision at advisers and broker-dealers.
- Trade and personal-trading surveillance4 vendors, 6 more listed under other categoriesTools that monitor client trading and access-person trading for supervisory review.
- RIA and BD compliance consultants6 vendors, 1 more listed under other categoriesFirms that run outsourced compliance work for advisers and broker-dealers.
How this index is built
Each card comes from the vendor's own website: its product pages, its financial-services or industry pages and its FAQ, as we read them in October 2026. The one sentence on a card says what the product is and who it serves in the vendor's terms, not ours. Where a vendor has a product that fits a second category, the card says so and the second category lists it too.
A vendor is left out when we could not read its site, when its site makes no claim that fits advisers or broker-dealers, or when its client base falls outside what this site covers. Being left out says nothing about a product's quality, and being listed is no promise that it fits your firm; our terms of use say the same of every listing.
Before you sign with any vendor, ask it for the documents its pages do not show: for an archive, its SEC Rule 17a-4(f) assessment or undertaking letter, its export formats and its list of captured channels; for a consultant, the scope of each service in writing. The software comparisons read a handful of these vendors at a time against one rule's requirements, with a status word for each. Then check the choice with your compliance counsel.