BasisCode Compliance
BasisCode Compliance operates Orion Compliance, a regulatory technology platform serving RIAs, broker-dealers, and compliance consultants. It unifies Employee, Firm, and Client Oversight in one configurable dashboard with continuous audit trails, and operates as a product of Orion Advisor Solutions.
- Company typePrivate
- Founded2011
- HeadquartersAtlanta, United States
- Headcount1–10
- GTM typeB2B
- OfferingSoftware
What BasisCode Compliance does
BasisCode Compliance operates Orion Compliance, a regulatory technology platform serving registered investment advisors (RIAs), broker-dealers, and outsourced compliance consultants. The platform unifies three oversight pillars (Employee Oversight, Firm Oversight, and Client Oversight) within a single configurable dashboard, supported by a continuous audit trail that timestamps every monitored event, alert, and remediation and is exportable for SEC examinations. A dedicated consultant dashboard allows outsourced CCO firms to manage multiple independent client firms without commingling data and to push standardized content to client firm dashboards.
The underlying technology combines rules-based activity monitoring, automated compliance workflows, configurable alerts, and audit configuration, with native integration into Orion Trading (for pre- and post-trade compliance reviews), Orion Portfolio Accounting (for client holdings monitoring), and Orion Risk Intelligence (for allocation and risk drift monitoring). The platform also integrates with AltExchange for alternative investment management. Distribution combines direct enterprise field sales (Request a Demo / Get a Consult) with a channel partner ecosystem of 20+ compliance consulting firms.
BasisCode Compliance generates revenue through tiered subscription pricing based on firm size, number of users, and which oversight modules are deployed, billed annually. The company is a product of Orion Advisor Solutions, Inc., a privately held wealthtech firm, was founded in 2011, and is headquartered in Atlanta, Georgia. Carlos Guillen serves as President & CEO.
BasisCode Compliance firmographics
Firmographics- Name
- BasisCode Compliance
- Legal name
- BasisCode Compliance
- Website
- https://basiscode.com
- Company type
- Private
- Founded year
- 2011
- Operating status
- Operating
- Headcount range
- 1–10 employees
- Short description
- BasisCode Compliance operates Orion Compliance, a regulatory technology platform serving RIAs, broker-dealers, and compliance consultants. It unifies Employee, Firm, and Client Oversight in one configurable dashboard with continuous audit trails, and operates as a product of Orion Advisor Solutions.
- Ownership category
- akta.pro rank
BasisCode Compliance industry classification
Industry- Product category
- Regulatory Compliance Software
- SIC
- Services-Computer Programming, Data Processing, Etc. (7370), Services-Engineering, Accounting, Research, Management (8700)
- akta.pro primary industry
- Regulatory Compliance Management (Policies, Attestations, Obligations Mapping) (FSAFAKAG)
- akta.pro secondary industries
- Recordkeeping, Archiving & Audit Trail (WORM/SEC 17a-4) (FSAFAOAK), Financial Crime Compliance Program Management (Policies, Controls, Training) (FSAMAMAH)
Keywords
Where BasisCode Compliance is headquartered
LocationHeadquarters
- HQ city
- Atlanta
- HQ country
- United States
- HQ region
- North America
Markets served
BasisCode Compliance business model
Business model- GTM type
- B2B
- Offering type
- Software
- Cost components
- Personnel, Technology or R&D, Operations, Marketing or Sales, Infrastructure
Revenue model
- Subscription-based SaaS: Tiered subscription model with pricing based on firm size, number of users, and which oversight modules are deployed. Implementation services included for policies-and-procedures setup, employee enrollment, and dashboard configuration.
Pricing tiers
| Model | Billing | Price |
|---|---|---|
| Subscription | Annual | Tiered plans based on firm size and user count |
Go-to-market motion2 records
Distribution channels2 records
Marketing channels8 records
BasisCode Compliance product offering
Product offeringCore offering
BasisCode Compliance provides a regulatory technology platform, marketed as Orion Compliance, that automates employee, firm, and client oversight for RIAs, broker-dealers, and outsourced compliance consultants through one configurable dashboard. The platform delivers continuous audit trails, activity monitoring, Code of Ethics compliance, and SEC exam readiness, and is sold as a tiered subscription product. It integrates with Orion Trading, Orion Portfolio Accounting, and Orion Risk Intelligence as part of the Orion Advantage Stack.
Product overview
Orion Compliance is a unified regulatory technology platform offered as part of the Orion Advisor Tech ecosystem. It provides three interconnected oversight pillars—Employee Oversight, Firm Oversight, and Client Oversight—delivered through a single configurable dashboard. The platform also includes a dedicated consultant dashboard workflow for outsourced compliance consultants managing multiple advisor firms. Orion Compliance integrates with other Orion products including Orion Trading, Orion Portfolio Accounting, and Orion Risk Intelligence for comprehensive compliance coverage across pre-trade and post-trade activities.
Differentiator
Problem solved
Functional benefit
Products and services
- Orion Compliance (BasisCode Compliance platform) Regulatory technology platform that unifies Employee, Firm, and Client Oversight in one configurable dashboard with a continuous timestamped audit trail, built for RIAs, broker-dealers, and outsourced compliance consultants to remain exam-ready year-round. Includes a Consultant Dashboard for multi-firm management without data commingling and integrates with Orion Trading, Orion Portfolio Accounting, and Orion Risk Intelligence.
Quantifiable outcome
- Ranked #1 overall in client satisfaction among compliance technology providers from 2021 through 2023
- +2 more outcomes
Companies that use BasisCode Compliance
Customer profileSegments5 records
Ideal customer profiles3 records
BasisCode Compliance technology and API
TechnologyTechnology focussed Yes
API detail
- Has API
- No
- API docs
- API detail
Core technology
AI maturity
App detail
Integration3 records
Feature5 records
BasisCode Compliance partnerships and signals
Strategic signalPartnerships
19 partnerships are on record, tiered core and minor.
- ABL CompliancecoreABL Compliance offers services to advisory firms to support compliance with the Investment Advisers Act of 1940, providing customized compliance plans reflecting each firm's unique business and changing regulatory environment.
- Beacon Compliance ConsultingcoreFounded in 2009 by Kyle Bubeck. Provides Chief Compliance Officer services to registered investment advisors, stand-alone mutual funds, and mutual fund series trusts. Also offers compliance consulting services including initial advisor registration, document creation, and mock auditing.
- BovillcoreRegulatory consultancy with offices in the US, Singapore, Hong Kong, and UK with 80+ team members. Supports clients with country-specific services or those seeking to extend product offerings internationally.
- Cascade Investment Compliance & VerificationcoreHelps RIAs and other investment managers achieve and maintain compliance with GIPS standards. Offers performance reviews, investment compliance for asset owners, and performance measurement consulting.
- Core-CCOcorePartners with leading and emerging private fund firms in Texas to provide quality outsourced compliance resources designed to be integral to daily operations.
- Core CompliancecoreSpecializes in compliance and risk management for the financial industry, offering solutions based on unique culture, identity, and needs of each firm.
- DKA Consulting GroupcoreProvides regulatory compliance consulting services to registered investment advisers and broker-dealers including registrations, compliance testing, policies & procedures, and regulatory exam support.
- Essential EdgecoreVirtual firm since inception delivering outsourced compliance services for broker-dealers, RIAs, banks, and insurance companies. Uses a flat fee model instead of hourly rates. Team has average of 20 years compliance experience.
- Integrated Compliance AdvisorscoreOffers custom-tailored services to SEC-registered advisory firms ensuring compliance with the Investment Advisers Act. Provides proactive education, resources to streamline policies and procedures.
- Key Bridge CompliancecoreProvides outsourced compliance services to RIAs, partnering with firms who want to focus on growing their business rather than the regulatory landscape.
- MGL Consulting, LLCcoreFounded in 1984, nationally recognized provider of regulatory compliance consulting to broker-dealers, investment advisers, and commodities firms with 400+ years of collective team experience.
- My RIA LawyercoreHelps financial advisers and firms navigate legal complexities of financial services, combining compliance and legal under one umbrella for outsourced CCO services and enforcement defense.
- NexTier SolutionscoreProvides outsourced accounting, compliance, and human resource solutions to investment advisory firms with focus on building efficient and results-driven relationships.
- Outsourced Compliance GroupcoreFull-service compliance consulting to registered investment advisers servicing private funds, registered funds, high net worth individuals, retail investors, and commodity pools.
- Parker MacIntyrecoreLaw firm representing investment advisers and financial professionals around the country, advising on SEC or state regulatory registration, business structure, and policies and procedures.
- PINE Advisor SolutionscoreProvides institutional-quality outsourced CFO, regulatory compliance, fund/advisor launch, and operations support services to private funds, mutual funds, and investment advisers.
- SEC3 Compliance ConsultantscoreTeam has over 100 years combined experience in investment management regulation and compliance. Professionals have served as SEC regulators, chief compliance officers, attorneys, and senior management.
- True WestcoreRegulatory compliance consulting firm focused on SEC registered investment advisors managing $100 million to $3 billion of AUM. Offers proactive, educational approach guided by Code of the West principles.
- Windermere Insurance GroupminorFull-service insurance brokerage headquartered in Charlotte, NC with focus on Financial Institution market including RIAs, Fund Managers, Broker Dealers, Trust Companies, and Family Offices.
Scale indicators2 records
Recent moves6 records
Expansion highlights4 records
BasisCode Compliance competitors and assessment
Company assessmentDirect peers
- RIA in a Box: RIA in a Box provides compliance management software and consulting specifically for registered investment advisors, with policy manuals, cybersecurity testing, and ongoing compliance oversight — directly competing with BasisCode/Orion Compliance in the same RIA buyer segment.
- Comply: Comply (formerly RIA Compliance Consultants) offers a compliance platform for RIAs and broker-dealers covering policies, training, surveillance, and exams — overlapping directly with BasisCode's Employee, Firm, and Client Oversight pillars.
- Smarsh: Smarsh provides archiving, communication surveillance, and compliance workflows for regulated financial firms. Its archiving/audit-trail capability and broker-dealer focus make it a direct competitor to Orion Compliance's continuous audit trail and Code of Ethics features.
- RegEd: RegEd delivers RegTech solutions for broker-dealers, investment advisers, and insurance producers, including compliance training, continuing education, and advisor supervision — directly comparable to BasisCode's employee oversight and training workflows.
- PROFILE (by InvestCloud): PROFILE is a wealth management and compliance platform serving RIAs, broker-dealers, and private banks with surveillance and regulatory reporting — competing with BasisCode across the same client oversight and audit-trail workflow.
- ACA Compliance Group: ACA provides outsourced compliance, risk, and RegTech services to RIAs, broker-dealers, and asset managers, including the ACA ComplianceAlpha platform for surveillance and oversight — directly comparable to BasisCode's consultant-led delivery model.
- Cipperman Compliance Services: Cipperman provides outsourced CCO services, compliance consulting, and technology enablement for RIAs and hedge funds. Comparable to BasisCode's consultant channel and platform delivery for the outsourced CCO buyer persona.
Broad incumbents
- Wolters Kluwer: Wolters Kluwer's Governance, Risk & Compliance division offers expansive RegTech solutions (compliance programs, archiving, KYC) used by financial institutions. As a broad incumbent it competes with BasisCode across policy management and audit trail workflows.
- FIS: FIS provides large-scale compliance, surveillance, and regulatory reporting solutions to financial institutions globally. As a broad incumbent, it competes with BasisCode particularly for larger broker-dealer and enterprise wealth management clients.
- Schwab Compliance Technologies (including Compliance11): Schwab offers compliance and surveillance tools available to advisors on its custodial platform, competing with BasisCode in the RIA/broker-dealer space from inside a major custodian ecosystem rather than as a pure-play RegTech vendor.
Market position
Strengths4 records
Weaknesses4 records
Competitive moat5 records
Key risks5 records
Key highlights6 records
Customer concentration
BasisCode Compliance social profiles
Digital presenceBasisCode Compliance financial estimates
Financial estimateRevenue estimate
Valuation estimate
BasisCode Compliance leadership team
Management profileNumber of profiles
Profiles1 record
BasisCode Compliance funding detail
Funding detailFunding overview
Funding rounds1 record
Investors
Funding detail is available on the Subscription and Enterprise plan.Contact sales →
BasisCode Compliance M&A and investment
M&A and investmentM&A
Investments
M&A and investment is available on the Subscription and Enterprise plan.Contact sales →
Frequently asked questions about BasisCode Compliance
What does BasisCode Compliance do?
BasisCode Compliance provides a regulatory technology platform, marketed as Orion Compliance, that automates employee, firm, and client oversight for RIAs, broker-dealers, and outsourced compliance consultants through one configurable dashboard. The platform delivers continuous audit trails, activity monitoring, Code of Ethics compliance, and SEC exam readiness, and is sold as a tiered subscription product. It integrates with Orion Trading, Orion Portfolio Accounting, and Orion Risk Intelligence as part of the Orion Advantage Stack.
Is BasisCode Compliance a public or private company?
BasisCode Compliance is a private company. It is classified as corporate owned and is currently operating.
When was BasisCode Compliance founded?
BasisCode Compliance was founded in 2011. It employs 1 to 10 people.
Where is BasisCode Compliance based?
BasisCode Compliance is headquartered in Atlanta, United States, in the North America region.
How does BasisCode Compliance make money?
One revenue line is on record: subscription-based SaaS.
Who are BasisCode Compliance's main competitors?
Direct peers on record are RIA in a Box, Comply, Smarsh, RegEd, PROFILE (by InvestCloud), ACA Compliance Group and Cipperman Compliance Services. Broad incumbents are Wolters Kluwer, FIS and Schwab Compliance Technologies (including Compliance11).
Does BasisCode Compliance have an API?
No public API is recorded for BasisCode Compliance.
What industry is BasisCode Compliance in?
BasisCode Compliance's product category is Regulatory Compliance Software. Its primary akta.pro industry code is FSAFAKAG, Regulatory Compliance Management (Policies, Attestations, Obligations Mapping), with a secondary code of FSAFAOAK, Recordkeeping, Archiving & Audit Trail (WORM/SEC 17a-4). Its SIC code is 7370.