What RIA Compliance Technology does

RIA Compliance Technology is a US-based, privately-held software company founded in 2017 by Blake Bjordahl, a compliance professional with prior exposure to over 400 RIAs and Broker Dealers. The company builds a cloud-based, AWS-hosted SaaS platform purpose-built for registered investment advisers, broker-dealers, and compliance consulting firms, distributing it through three modular products: Simple Compliance Portal (centralized task, calendar, and ADV management), Simple Email Archive (SEC-compliant communication capture across email, SMS, web, and social with AI-assisted review), and Simple Trade Monitor (automated employee brokerage linking and trade review under SEC Rule 204A-1). Products are sold separately or as a bundle under subscription terms, with no public pricing.

Name

RIA Compliance Technology

Legal name

RIA Compliance Technology

Website

https://riacomptech.com

Company type

Private

Founded year

2017

Operating status

Operating

Headcount range

1–10 employees

Short description

RIA Compliance Technology is a privately-held US SaaS company founded in 2017 that provides cloud-based compliance management, communication archiving, and employee trade monitoring software specifically for registered investment advisers, broker-dealers, and compliance consulting firms.

Ownership category

akta.pro rank

Product category

RegTech / RIA Compliance Software

NAICS

Software Publishers (513210)

SIC

Investment Advice (6282), Services-Prepackaged Software (7372)

akta.pro primary industry

Digital Wealth Platforms for Advisors (TAMP/Advisor Tech) (FSAGAEAH)

Keywords

• RIA compliance software
• SEC compliance management
• Compliance task automation
• Employee trade monitoring
• Communication archiving compliance

Headquarters

HQ city

Orange

HQ country

United States

HQ region

North America

Markets served

GTM type

B2B

Offering type

Software

Cost components

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

Revenue model

1. Subscription-based SaaS: The company operates on a subscription model with various plans. Subscriptions automatically renew at the end of each period unless cancelled. The platform is customizable, allowing firms to pay only for services needed. From the Terms of Service: 'The Services are available under various subscription plans. Your subscription will be automatically renewed at the end of each subscription period unless you downgrade or cancel your subscription.' Products can be purchased separately or as a combined bundle.

Pricing tiers

Go-to-market motion1 record

Distribution channels2 records

Marketing channels4 records

Core offering

RIA Compliance Technology builds and sells a cloud-based SaaS compliance management platform purpose-built for registered investment advisers. The platform bundles three modular products—Simple Compliance Portal (calendar, task, ADV, and policy management), Simple Email Archive (SEC-compliant multi-channel communication archiving with AI-assisted review), and Simple Trade Monitor (brokerage-linked employee trade oversight under SEC Rule 204A-1)—that can be purchased separately or as a combined bundle.

Product overview

RIA Compliance Technology offers a modular compliance platform composed of three integrated products: Simple Compliance Portal, Simple Email Archive, and Simple Trade Monitor. These products can be purchased separately or combined into a unified bundle, allowing firms to select only the services they need. Simple Compliance Portal serves as the central hub for compliance calendar management, task tracking, employee submissions, ADV updates, and policy testing. Simple Email Archive provides SEC-compliant communication archiving across email, text, SMS, websites, and social media with AI-assisted review capabilities. Simple Trade Monitor automates employee trading oversight under SEC Rule 204A-1 by electronically linking brokerage accounts and maintaining audit-ready review records. Together, these products consolidate RIA compliance workflows into a single organized, exam-ready platform.

Differentiator

Problem solved

Functional benefit

Brands

• Simple Compliance Portal: A centralized compliance management platform that provides compliance calendars, task tracking, policy acknowledgments, and Form ADV updates for RIAs.
• Simple Email Archive
• Simple Trade Monitor

Products and services

• Simple Compliance Portal A centralized compliance management platform that enables RIAs to manage compliance calendars, track and document tasks, handle employee submissions, review and approve changes, manage ADV updates, and test procedures from a single dashboard with timestamped audit trails.
• Simple Email Archive A communication archiving solution that captures and retains email, text messages (SMS), websites, and social media communications in a secure, searchable, SEC-compliant format with keyword highlighting and AI-assisted review capabilities.
• Simple Trade Monitor An employee trading oversight platform that electronically links employee brokerage accounts to automate trade review, eliminate paper statement requests, and maintain SEC Rule 204A-1 compliant documentation with timestamped audit trails.

Quantifiable outcome

• Typical 10-employee RIA spends $29,200 annually and 650+ staff hours on manual compliance management
• +3 more outcomes

Named customers3 records

Segments4 records

Ideal customer profiles4 records

Technology focussed Yes

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

AI capability2 records

Feature5 records

Scale indicators3 records

Recent moves5 records

Expansion highlights4 records

Broad incumbents

• Global Relay: Provider of compliant messaging, archiving, and supervision solutions for financial services firms. Comparable to RIACT's archiving and supervision capabilities but at significantly larger scale and broader customer base.
• Smarsh: Large-scale communications archiving and compliance platform serving financial services including broker-dealers and RIAs. Comparable to RIACT's Simple Email Archive but at much larger scale across multiple regulated industries.
• Proofpoint (Compliance Archiving): Enterprise compliance archiving and supervision platform used by financial firms. Overlaps with RIACT's archiving product but serves a much broader enterprise market with substantially greater resources.
• ACA Compliance Group: Provides compliance, risk, and cybersecurity solutions to investment management firms. Comparable to RIACT for RIA and broker-dealer compliance buyers, with broader GRC and advisory offerings.
• Wolters Kluwer Compliance Solutions: Large multinational provider of compliance and regulatory software (including TeamMate and other GRC products) used across financial services. Comparable to RIACT in regulated industry compliance, though at vastly larger scale and broader scope.

Direct peers

• Red Oak Compliance Solutions: Provides compliance software for investment advisers including advertising review, employee trading monitoring, and code of ethics administration. Closely overlaps RIACT's product surface and target buyer (RIA CCOs and compliance officers).
• Cipperman Compliance Services: Compliance consulting and outsourced CCO services for investment advisers with associated technology offerings. Comparable to RIACT for compliance consulting firms serving multiple RIA clients.
• RIA in a Box: Direct competitor offering compliance management software, policies, and consulting specifically built for RIAs. Highly comparable to RIA Compliance Technology in target customer (small to mid-sized RIAs) and product scope (compliance workflows, archiving, code of ethics).
• Comply (ComplySci): Compliance management platform serving asset managers, RIAs, and broker-dealers with employee trading oversight, code of ethics, and compliance workflows. Comparable to RIACT's trade monitoring and broader compliance suite for the registered investment adviser buyer.
• National Regulatory Services (NRS): Provides compliance solutions, education, and technology to investment advisers, broker-dealers, and fintechs. Overlaps RIACT in RIA compliance tooling, with the addition of broader regulatory consulting.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat4 records

Key risks6 records

Key highlights7 records

Customer concentration

• LinkedInlinkedin.com/company/ria-compliance-technology

Revenue estimate

Valuation estimate

Number of profiles

Profiles1 record

Funding overview

Funding rounds

Investors

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

M&A

Investments

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

Frequently asked questions about RIA Compliance Technology