RIA and broker-dealer compliance platforms
Compliance platforms keep a firm's policies, annual reviews, advertising approvals, code-of-ethics reports and supervision records in one place, with a record of who reviewed what. 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 the Rule 206(4)-7 compliance program rule.
Read October 2026
Vendors, A to Z
Comply
Compliance software and services
Compliance software for RIAs, broker-dealers, private funds and wealth managers, sold as Comply for RIA (formerly RIA in a Box) and Comply Platform (formerly ComplySci), with a consulting and managed-services arm.
Compared on
- Best compliance software for small broker-dealers
- Best RIA compliance consultants for small advisers
- Best trade surveillance software for small firms
- Best RIA compliance software for small firms
- Best personal trading compliance software
- Best software for financial advisors: the compliant stack
- Best advertising review software for advisers
Also fits
- Trade and personal-trading surveillanceEmployee personal trading
- RIA and BD compliance consultantsConsulting and managed services
Docupace ComplianceEdge
Supervision and surveillance
The supervision and surveillance product of Docupace's wealth operations platform, for broker-dealers, RIAs, hybrid firms and bank trust companies.
Compared on
Also fits
- Trade and personal-trading surveillanceAccount surveillance
FMG
Adviser marketing with a review workflow
Websites, social posts and email marketing for advisers, with a One-Click Compliance step that sends content to the firm's compliance inbox for approval; Twenty Over Ten's own site says its features are now part of the new FMG.
Hadrius
Compliance operations platform
A compliance operations system for SEC- and FINRA-regulated firms, naming broker-dealers, RIAs, private funds and compliance consultants among the firms it serves.
Compared on
Also fits
- Trade and personal-trading surveillanceAccount surveillance
Orion Compliance
Compliance module of the Orion platform
The compliance module of the Orion platform, which Orion describes as a regulatory technology platform for RIAs, broker-dealers and compliance consultants.
Compared on
Also fits
- Trade and personal-trading surveillanceClient oversight and personal trading
Red Oak
Advertising review and compliance software
Compliance software for advertising review, disclosures, registrations and website and social media monitoring, naming broker-dealers, RIAs, banks and insurers.
Smartria
RIA compliance software
RIA compliance software for SEC and FINRA programs, for RIAs, chief compliance officers and compliance consultants, from small firms to enterprises.
Compared on
Also fits
- Trade and personal-trading surveillancePersonal trading
VComply
General governance, risk and compliance
A general governance, risk and compliance platform for policies, risks and cases across many industries, with financial services listed first.
Compared on