What Compliers does

Compliers (Compliers Consulting Services, LLC) is a New York-based, founder-owned compliance services firm founded in 2020 that delivers a dual offering of professional consulting and AI-enabled compliance tooling to US broker-dealer and registered investment adviser (RIA) firms. The company is led by three principals — David Martin (Founder/CEO), Stacey Lavender (Founder/Partner), and Ashley Webb (CFO/Partner) — supported by a team of FINRA-licensed CCOs and compliance professionals, with Rifton Westby heading business development. Services span FINRA-licensed temporary and permanent staffing, SEC and state RIA registration, FINRA membership applications, AML program development, FINRA Rule 3120 testing, branch audits, exempt reporting adviser filings, and CCO advisory support.

The technology layer is an AI-powered compliance platform built around a proprietary rule-based system designed by the firm's in-house compliance practitioners. It comprises four integrated modules: email review (marketed as saving up to 90% of supervisory review time), outside investment account tracking via an API-driven data collection workflow, marketing and communications review with firm-wide reporting, and code of ethics management. The platform is delivered partly directly and partly through partner integrations — Hadrius for PST/marketing/email compliance delivery, SecuritiesCE.com for Firm Element training and continuing education, and Asset Academy AI for digital asset training. Compliers maintains no public API or SDK, has no mobile app, and operates exclusively in the United States.

Commercially, Compliers runs an enterprise field-sales motion targeting compliance principals at regulated financial firms, supported by direct outreach, Calendly-scheduled demos, and organic social presence. Pricing is quote-based and not publicly disclosed. Revenue is not publicly reported, the company is bootstrapped with no disclosed funding rounds, and ownership remains with the three founding partners.

Name

Compliers

Legal name

Compliers Consulting Services, LLC

Website

https://compliers.com

Company type

Private

Founded year

2020

Operating status

Operating

Headcount range

11–50 employees

Short description

Compliers (Compliers Consulting Services, LLC) is a New York-based, founder-owned firm that provides AI-enabled compliance tooling — email review, outside account tracking, marketing review, and code of ethics management — alongside FINRA-licensed staffing, SEC/RIA registration, AML, and CCO advisory services for US broker-dealer and RIA firms.

Ownership category

akta.pro rank

Product category

Regulatory Compliance Consulting

NAICS

Software Publishers (5132), Custom Computer Programming Services (541511), Computer Systems Design and Related Services (54151)

SIC

Services-Prepackaged Software (7372), Services-Computer Programming Services (7371)

akta.pro primary industry

Communications Surveillance & E-Comms Archiving (Voice/Chat/Email) (FSAFAKAC)

akta.pro secondary industries

Responsible AI, AI Governance & Compliance Services (BPAEAHAJ), Regulatory Readiness & Audit Automation (e.g., EU AI Act, NIST AI RMF, ISO/IEC 42001) (HDAAAMAE)

Keywords

• Compliance consulting
• Regulatory compliance services
• Broker-dealer compliance
• RIA registration support
• AI compliance automation

Headquarters

HQ city

New York

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

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

Revenue model

1. Compliance Consulting Services: Professional consulting services including CCO support, compliance reviews, policy development, and regulatory compliance assistance for broker-dealer and RIA firms.
2. Staffing Solutions: Temporary and permanent staffing placements providing FINRA-licensed professionals, compliance officers, and back-office support for broker-dealer firms.
3. Regulatory Registration Services: SEC RIA registration, FINRA membership application (NMA/CMA), and state RIA registration support services.
4. AML and Audit Services: Anti-money laundering compliance programs, FINRA Rule 3120 compliance testing, branch office audits, and policy reviews.
5. AI Compliance Tools: AI-powered compliance tools including email review, outside investment account tracking, marketing review, and code of ethics management. Likely delivered as subscription or SaaS.
6. Training Services: Firm Element training and continuing education through partner platforms (SecuritiesCE.com, Asset Academy).

Go-to-market motion1 record

Distribution channels3 records

Marketing channels4 records

Core offering

Compliers delivers AI-powered compliance automation and professional compliance consulting for US broker-dealer and RIA firms. Its core offering combines a proprietary rule-based AI platform (email review, marketing review, outside investment account tracking, code of ethics management) with in-house CCO and FINRA-licensed professional services covering staffing, SEC/FINRA registration, AML compliance, and audit support.

Product overview

Compliers offers a unified platform combining AI-powered compliance technology with professional consulting services. The core AI-Powered Compliance Platform provides end-to-end solutions including Marketing and Communications Review, Email Review, Outside Investment Accounts Management, and Code of Ethics Management, all powered by a proprietary rule-based system backed by in-house compliance professionals. The platform is complemented by professional services including Compliance Consulting and Staffing, SEC RIA Registration, FINRA Membership Application support, State RIA Registration, AML/3120/Audit Services, and Exempt Reporting RIA Services. All solutions are supported by tenured compliance professionals and designed specifically for broker-dealer and RIA firms.

Differentiator

Problem solved

Functional benefit

Products and services

• AI-Powered Compliance Platform End-to-end AI-powered compliance solution for broker-dealer and RIA firms that uses a proprietary rule-based system to automate supervisory review across email, marketing, outside investment accounts, and code of ethics. Designed for compliance teams needing to reduce manual review time and centralize oversight.
• Compliance Consulting and Staffing Specialized consulting and staffing service offering access to FINRA-licensed professionals, temporary and permanent placements, regulatory compliance expertise, and seamless team integration for broker-dealer and RIA firms.
• SEC RIA Registration Registration service for investment advisers with AUM over $100 million, covering IARD account setup, Form ADV preparation, and electronic submission for SEC registration.
• FINRA Membership Application (NMA/CMA) End-to-end support for broker-dealers pursuing FINRA membership, including business model assessment, application preparation, regulatory compliance guidance, and policy development.
• State RIA Registration Registration service for investment advisers with AUM between $25 million and $100 million filing with state securities authorities.
• AML, 3120, and Audit Services Anti-money laundering compliance programs, FINRA Rule 3120 compliance reviews, branch office audits, policy reviews, and risk assessments for broker-dealer firms.
• Exempt Reporting RIA Services Registration and ongoing support for exempt reporting advisers managing private funds with less than $150 million AUM, including filing of abbreviated Form ADV.

Quantifiable outcome

• Email review saves up to 90% of supervisory review time

Segments3 records

Ideal customer profiles3 records

Technology focussed Yes

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

AI capability2 records

Feature4 records

Partnerships

Two partnerships are on record, tiered minor.

• SecuritiesCE.comminorGTM or Marketing PartnerPartner platform for continuing education, exam prep, and Firm Element training services. Compliers directs clients to SecuritiesCE.com for training and certification tracking.
• Asset Academy AIminorGTM or Marketing PartnerPartner platform for digital asset training and education. Compliers links to Asset Academy for exam preparation and regulatory training.

Recent moves6 records

Expansion highlights5 records

Broad incumbents

• ACA Compliance Group: Large-scale compliance consulting, risk, and regulatory services firm for asset managers, broker-dealers, and private fund advisers - a much larger incumbent providing the same outsourced CCO and regulatory support that Compliers offers.
• Global Relay: Provider of compliant communications archiving, surveillance, and e-discovery for financial services and other regulated industries, directly competing in the email/messaging supervision space that Compliers targets.
• Smarsh: Enterprise communications compliance and archiving leader serving broker-dealers, banks, and other regulated firms with capture, surveillance, and e-discovery - a much larger incumbent whose product suite overlaps with Compliers' email and marketing review modules.
• Proofpoint (Compliance Solutions): Large cybersecurity and compliance vendor whose archival, supervision, and e-discovery products compete in broker-dealer and RIA communications surveillance, representing a scaled incumbent alternative to Compliers' AI tools.
• National Regulatory Services (NRS): Compliance consulting, registration, and continuing education provider for broker-dealers and investment advisers, including Firm Element training and licensing support - directly comparable to Compliers' registration and training offerings.

Emerging players

• Behavox: AI-native compliance surveillance platform using NLP to monitor employee communications, voice, and behavior for broker-dealers, hedge funds, and banks - a more AI-forward peer pursuing the same communications compliance problem.

Direct peers

• Cipperman Compliance Services: Boutique compliance consulting firm specializing in investment advisers and private funds, offering CCO outsourcing, regulatory exams, and policy work - a similarly-sized peer with overlapping service mix and target market.
• Hadrius: AI-powered compliance platform purpose-built for broker-dealers and RIAs, offering PST, email supervision, marketing review, and outside account surveillance - the same core workflows Compliers delivers, often via Hadrius as the underlying platform.
• StarCompliance: Employee compliance software for financial services covering personal trading, outside business activities, gifts and entertainment, and code of ethics workflows - directly comparable to Compliers' ethics and outside account reviews.
• ComplySci (Scientifica Consulting affiliate): RegTech platform focused on compliance program management for investment advisers and broker-dealers, including personal trading, gifts and entertainment, marketing review, and code of ethics - directly comparable to Compliers' code of ethics and outside account modules.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat4 records

Key risks7 records

Key highlights7 records

Customer concentration

Revenue estimate

Valuation estimate

Number of profiles

Profiles4 records

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 Compliers