COMPLY

Name

COMPLY

Legal name

Comply Technologies, Inc.

Website

https://comply.com

Company type

Private

Founded year

2021

Operating status

Operating

Headcount range

501–1,000 employees

Ownership category

akta.pro rank

Product category

Regulatory Compliance Software

NAICS

Custom Computer Programming Services (541511)

SIC

Services-Computer Programming, Data Processing, Etc. (7370), Services-Management Consulting Services (8742)

akta.pro primary industry

Regulatory Compliance Management (Policies, Attestations, Obligations Mapping) (FSAFAKAG)

akta.pro secondary industries

Compliance Technology, GRC Platforms & Controls Automation Advisory (BPAHAFAO), Risk Controls & Pre-/Post-Trade Compliance (Best Execution, Limits, Suitability) (FSAFAKAJ)

Keywords

• Regulatory compliance software
• Employee compliance monitoring
• Trade surveillance
• Communications archiving
• AI compliance platform

Headquarters

HQ city

New York

HQ country

United States

HQ region

North America

Offices6 records

Markets served

GTM type

B2B

Offering type

Software

Cost components

Personnel, Technology or R&D, Marketing or Sales, Infrastructure, Operations

Revenue model

1. SaaS Platform Subscriptions: Subscription-based access to the Comply compliance platform, including employee compliance, firm compliance, communications archiving, and regulatory management tools. Pricing varies by firm size and module selection.
2. Professional Services: Regulatory compliance consulting, registration services, regulatory filings, and managed services. Includes exam support, mock audits, compliance program design, and ongoing compliance support.
3. Education Services: Online courses and continuing education programs for compliance professionals, including certification requirements and regulatory education.

Pricing tiers

Go-to-market motion3 records

Distribution channels4 records

Marketing channels7 records

Core offering

COMPLY provides a unified SaaS regulatory compliance platform for financial services firms that combines employee compliance monitoring (trade surveillance, code of ethics, conflicts of interest, political contribution monitoring), firm-level governance (risk assessments, annual reviews, intelligent policy builder), and communications archiving in a single system. The platform is sold to broker-dealers, RIAs, private funds, investment banks, wealth managers, and endowments, with a growing ComplyAI layer that adds MCP-Server-enabled agentic compliance, a Policy Guide, and a Calendar Builder. Professional services for registration, consulting, regulatory filings, and managed services are sold alongside, plus online compliance education courses.

Product overview

COMPLY offers a unified platform combining employee and firm-level compliance for financial services. The product portfolio centers on the Comply Platform (formerly ComplySci) as the core comprehensive solution, Comply for RIA (formerly RIA in a Box) for investment advisors, illumis for political contribution monitoring, ComplianceGuardian (formerly NRS) for communications archiving, and Comply Accountability for IAR individual accountability. The ComplyAI platform represents the AI strategy including the MCP Server (RegTech's first enterprise-grade MCP server), Policy Guide, and Calendar Builder. Comply serves private funds, wealth management/RIA firms, broker-dealers, investment banks, and endowments through software, services, education, and support.

Differentiator

Problem solved

Functional benefit

Brands

• ComplyAI: AI-powered compliance intelligence platform including policy guide, calendar builder, and MCP server for agentic compliance
• Comply Platform
• Comply for RIA
• illumis
• ComplianceGuardian
• Comply Accountability (IAR)

Products and services

• Comply Platform (formerly ComplySci) The comprehensive compliance platform addressing complex compliance requirements for financial services firms. Connects employee and firm-level compliance in a single unified system with 99.9% uptime on AWS-backed infrastructure for broker-dealers, investment banks, private funds, RIAs, and wealth managers.
• Comply for RIA (formerly RIA in a Box) Compliance management solution for Registered Investment Advisors to manage the full scope of their compliance program from one platform, including Form ADV, annual reviews, and regulatory filings, offered in a self-serve model for smaller RIAs.
• illumis Real-time political contribution monitoring and intelligence platform ensuring pay-to-play compliance across all 50 U.S. states using 199 source sites, sold to investment advisers, broker-dealers, and government affairs teams.
• ComplianceGuardian (formerly NRS) Communications archiving and supervisory control solution for broker-dealers and financial firms, archiving email, native iMessage & WhatsApp, LinkedIn, Instagram, X, and governed SMS to reduce manual review burden and maintain defensible supervision records.
• Comply Accountability (IAR) Individual accountability tracking solution for Investment Adviser Representatives under the Senior Managers and Certification Regime (SMCR) and individual accountability frameworks, addressing conduct rules, statement of responsibilities, and accountability reporting.
• ComplyAI Platform Responsible AI governance platform for financial services compliance, including MCP Server, Policy Guide, Calendar Builder, AI Governance Task Library, and AI Risk Assessment & Policy Templates. Powers agentic compliance experiences drawing on a firm's regulatory content and policies.
• ComplyAI MCP Server RegTech's first enterprise-grade Model Context Protocol server for financial services compliance, enabling authorized teams to build custom AI agents using Claude Cowork, Microsoft Copilot, or ChatGPT without developers for trade pre-clearances, policy guidance, certifications, and natural language compliance reporting.
• ComplyAI Policy Guide Policy-bound intelligence layer delivering real-time, jurisdiction-specific guidance grounded in each firm's approved internal policies with full source traceability, available within the ComplyAI Platform.
• ComplyAI Calendar Builder AI-enabled calendar builder that automatically scans policies, supervisory procedures, compliance manuals, and Form ADV filings to generate structured compliance calendar tasks mapped against current regulatory requirements.
• ComplyAI Consulting Services Expert advisory services spanning firmwide AI risk assessments, mock audits, governance reviews, and education programs for AI governance, sold alongside the ComplyAI Platform to financial services firms.
• Trailight UK-based compliance solutions provider offering capabilities for conduct risk, accountability frameworks, and regulatory compliance workflows across multiple jurisdictions, integrated into the Comply platform post-acquisition in October 2025.
• Regulatory Compliance Consulting Professional services offering regulatory compliance consulting, registration services, regulatory filings, and managed services including exam support, mock audits, compliance program design, and ongoing compliance support.

Quantifiable outcome

• 198% three-year revenue growth, ranking in top 2-3% of all U.S. private companies on Inc. 5000
• +2 more outcomes

Named customers4 records

Segments5 records

Ideal customer profiles4 records

Technology focussed Yes

API detail

Has API

Yes

API docs

API detail

Core technology

AI maturity

App detail

Integration7 records

AI capability7 records

Feature6 records

Partnerships

Four partnerships are on record, tiered core and minor.

• TrailightcoreStrategic or Co-development Partner · 27 October 2025UK-based compliance solutions provider acquired to enhance Comply's global compliance platform. The acquisition creates the industry's first fully integrated firm and employee compliance platform, expanding Comply's presence in Europe and broadening compliance coverage across multiple jurisdictions for managing conduct risk, accountability frameworks, and regulatory compliance workflows.
• Hogan Lovells International LLPminorOthersAppointed as Comply's EU Representative for data protection matters in the European Union, in addition to direct company contact for matters relating to processing of personal data.
• Investment Adviser AssociationcoreGTM or Marketing PartnerStrategic partnership co-publishing the Investment Adviser Industry Snapshot and co-hosting webinars on regulatory compliance topics. Jointly published the 2026 Investment Adviser Industry Snapshot reporting on US investment adviser industry metrics.
• Claude (Anthropic)Technology or IntegrationAI platform integration partner for the ComplyAI MCP Server, enabling compliance teams to build custom AI agents using Claude Cowork for trade pre-clearances, policy guidance, and compliance reporting.

Scale indicators7 records

Recent moves7 records

Expansion highlights6 records

Direct peers

• Smarsh: Smarsh provides communications archiving, surveillance, and compliance solutions for financial services firms — directly competing with Comply's ComplianceGuardian offering and overlapping with the broader firm-level compliance platform.
• Behavox: Behavox is an AI-powered compliance surveillance platform for financial institutions, offering trade and communications surveillance — directly competing with Comply's employee compliance monitoring and emerging ComplyAI agentic capabilities.
• SteelEye: SteelEye provides regulatory compliance and surveillance solutions specifically for financial services firms, including communications archiving, trade surveillance, and MiFID II reporting — closely aligned with Comply's platform for broker-dealers and investment firms.
• Theta Lake: Theta Lake delivers compliance archiving and AI-driven surveillance for communications and collaboration tools used by financial firms — directly overlapping with Comply's communications archiving and employee compliance modules.
• NICE Actimize: NICE Actimize offers financial crime, AML, trade surveillance, and regulatory compliance solutions to global financial institutions — a long-standing enterprise competitor to Comply in compliance technology.
• Ascent RegTech: Ascent provides AI-powered regulatory intelligence and compliance workflow automation for financial services — directly comparable to ComplyAI's policy guidance, calendar building, and regulatory content capabilities.

Broad incumbents

• Diligent Corporation: Diligent provides a broad GRC SaaS platform used by boards and executives for governance, risk, and compliance — overlapping with Comply's firm-level compliance and individual accountability offerings, and notably the former employer of Comply's CEO.
• Wolters Kluwer: Wolters Kluwer offers compliance, legal, and regulatory software solutions including the OneSumX suite for financial services — a broad incumbent serving many of the same regulated customers as Comply.
• Mitratech: Mitratech provides a portfolio of GRC, legal, and compliance platforms (TeamConnect, PolicyHub, Tracker) used by enterprises including financial institutions — a broader GRC competitor rather than a specialist in financial services compliance.

Emerging players

• LeapYear: LeapYear provides privacy, compliance, and data analytics solutions for regulated enterprises including financial firms — an emerging specialist with partial overlap on the data-driven compliance workflows Comply is building around ComplyAI.

Market position

Strengths4 records

Weaknesses4 records

Competitive moat5 records

Key risks6 records

Key highlights7 records

Customer concentration

• Xx.com/Comply_Org
• LinkedInlinkedin.com/company/comply-org

Compliance3 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles5 records

Subsidiaries5 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A1 record

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about COMPLY