RIA and BD compliance consultants
Compliance consultants take on compliance work for advisers and broker-dealers, such as registration, policies and manuals, mock exams, annual reviews and, at some firms, an outsourced chief compliance officer. 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 when a small RIA should hire an outsourced CCO.
Read October 2026
Vendors, A to Z
ACA Group
Consulting, managed services and software
A governance, risk and compliance firm offering consulting, managed services and software to asset managers, broker-dealers, hedge funds, private markets firms and wealth managers.
Compared on
Also fits
- RIA and broker-dealer compliance platformsComplianceAlpha
- Trade and personal-trading surveillancePersonal trading (ComplianceAlpha)
Core Compliance & Legal Services
Compliance consulting
A San Diego compliance consulting firm for investment advisers, investment companies, broker-dealers and private fund managers, with a focus on emerging managers.
CRC Oyster
Compliance and risk consulting
A compliance and risk consulting firm for broker-dealers, investment advisers, NFA and CFTC registrants, exchanges and alternative trading systems.
InnReg
Compliance consulting and outsourcing
A regulatory compliance and operations consulting team aimed at fintechs, serving broker-dealers, RIAs, alternative trading systems, lenders and payments firms.
Joot
Consulting and compliance software
Consulting and software for SEC-registered investment advisers, private funds and registered funds, including a named chief compliance officer service, mock SEC exams and RIA registration.
Quadrant Regulatory Group
Compliance consulting
A New York team of senior compliance consultants for broker-dealers and SEC- and state-registered advisers, working with firms from a single compliance officer to a full compliance department.
Also listed under other categories
Each of these vendors has its card under another category and a product or service that also fits this one.
- ComplyConsulting and managed servicesCard under RIA and broker-dealer compliance platforms