AdvisorAssist

What AdvisorAssist does

AdvisorAssist, LLC is a privately-held management consulting firm founded in 2006 by Christopher E. Winn and headquartered in Marshfield, Massachusetts. The firm focuses exclusively on serving investment advisory firms, providing three integrated service lines: RIA registration (Essentials™ and Advantage™ tiers covering SEC and state registration, Form ADV preparation, compliance program design, custodian selection, and technology support), RIA transition support for advisors breaking away from wirehouse or broker-dealer models, and ongoing compliance services (Compliance Essentials™ and Advantage™ tiers, mock regulatory examinations, and annual registration renewals). The firm has registered nearly 4,000 RIAs with the SEC and all 50 state regulators since inception and serves 600+ active AdvisorCloud clients.

Name

AdvisorAssist

Legal name

AdvisorAssist, LLC

Website

https://advisorassist.com

Company type

Private

Founded year

2006

Operating status

Operating

Headcount range

11–50 employees

Short description

AdvisorAssist is a management consulting firm founded in 2006 that provides RIA registration, transition, and ongoing compliance services exclusively to US investment advisory firms, supported by its proprietary AdvisorCloud 360® compliance management platform.

Ownership category

akta.pro rank

Product category

Investment Advisor Compliance & Registration Consulting

NAICS

Management Consulting Services (54161), Other Management Consulting Services (541618)

SIC

Services-Management Consulting Services (8742)

akta.pro primary industry

Corporate Strategy Advisory (BPAHADAA)

akta.pro secondary industries

Fee-Based Advisory (FSAEAAAM), Registered Investment Advisor (RIA) Wealth Management (FSAEABAA)

Keywords

• RIA registration services
• Investment advisor compliance
• RIA transition consulting
• Compliance management software
• Registered investment advisors

Headquarters

HQ city

Marshfield

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

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

Revenue model

1. Professional Consulting Services: AdvisorAssist generates revenue through professional consulting services including RIA registration (Essentials and Advantage tiers), compliance support programs, transition services, and ongoing advisory engagements. Services are customized to client needs with pricing provided upon consultation.
2. RIA Registration Services: One-time registration services covering SEC or state registration, compliance program design, Form ADV filing, client agreements, custodian selection, and technology support. Includes up to 2 IARs for Essentials and up to 5 IARs for Advantage tier.
3. Ongoing Compliance Support: Subscription-based compliance support including annual ADV filing preparation, regulatory monitoring, compliance calendar access, monthly compliance emails, newsletters, webinars, and professional support through AdvisorCloud portal or phone.

Pricing tiers

Go-to-market motion1 record

Distribution channels4 records

Marketing channels9 records

Core offering

AdvisorAssist is a management consulting firm that provides comprehensive RIA registration, transition, and ongoing compliance support services to investment advisory firms. Its offerings span the full lifecycle of an RIA, from initial SEC or state registration and Form ADV filing, to breakaway transition support from wirehouse or broker-dealer models, to ongoing compliance program management delivered via its proprietary AdvisorCloud 360 platform.

Product overview

AdvisorAssist provides a portfolio of compliance management and RIA registration services centered around the AdvisorCloud 360® technology platform. The product suite includes tiered service levels: RIA Registration Essentials™ and RIA Registration Advantage™ for firm registration and launch; Compliance Essentials™ and Compliance Advantage™ for ongoing compliance support; and Complete Transition Support for advisors moving to independent RIA models. The AdvisorCloud 360® platform serves as the technology backbone, offering integrated modules for compliance calendars, risk assessments (CRAFT program), conflict disclosures, employee supervision, regulatory filings, audit preparation, annual CCO reporting, advertising review, vendor management, and branch office supervision. The company has registered nearly 4,000 RIAs with the SEC and state regulators since 2006.

Differentiator

Problem solved

Functional benefit

Brands

• AdvisorCloud360: Compliance management platform for registered investment advisors with features including compliance calendar, risk assessments, employee supervision, regulatory filings manager, and audit preparation tools.
• AdvisorCloud

Products and services

• AdvisorCloud 360 A cloud-based compliance management platform for registered investment advisors (RIAs) that provides tools for compliance activities, risk assessments, forensic testing, conflict disclosures, employee supervision, regulatory filings, audit preparation, and annual CCO reporting. The platform includes modules for advertising review, vendor management, branch office supervision, and a compliance knowledgebase.
• RIA Registration Essentials A comprehensive turnkey solution for starting a new RIA firm, covering SEC or state registration, compliance program design, client agreements, custodian selection, technology support, and training. Includes Form ADV filing, privacy policy, code of ethics, business continuity plan, and CCO training. Covers up to 2 IARs.
• RIA Registration Advantage Enhanced RIA registration service covering all aspects from concept to launch, including business model planning, custodian selection, investment policy development, social media policy, and expanded IAR support (up to 5 IARs). Includes AdvisorAssist Resources access and unlimited ADV filing changes for 1 year.
• Compliance Essentials Entry-level compliance support service providing cost-effective guidance, advice, and tools to support existing compliance activities for advisors who wish to supplement internal compliance with external resources and expertise.
• Compliance Advantage Comprehensive, proactive compliance partnership service with dedicated professionals who support the full implementation of compliance programs. Includes Form ADV reviews, ongoing advertising review, quarterly risk assessments, professional phone support, and AdvisorCloud access.
• Mock Exams & Assessments Regulatory examination preparation service using the same procedures, examination tools, and techniques used by SEC and state regulators. Tests and evaluates all facets of RIA compliance programs and provides evaluation with areas for improvement.
• Complete Transition Support Comprehensive RIA transition service covering business model planning, transition timeline, compliance program design, operations and technology analysis, and marketing and advertising review for advisors moving from wirehouse or broker-dealer models.
• Annual Registration Renewal Annual registration review service ensuring firm and IAR registrations remain current with securities regulators. Includes Form ADV review, client geography review, regulatory asset calculation, and annual compliance meeting support.
• SEC < > State Transition Transition service for firms moving between SEC and state registration. Covers compliance framework redesign, regulatory requirements, Form ADV updates, and team training for the new regulatory regime.

Quantifiable outcome

• Nearly 4,000 RIAs registered successfully with SEC and all 50 state regulators
• +1 more outcomes

Named customers2 records

Segments4 records

Ideal customer profiles3 records

Technology focussed Yes

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Feature3 records

Scale indicators4 records

Recent moves4 records

Expansion highlights5 records

Broad incumbents

• Envestnet: Envestnet provides a broad platform of portfolio management, reporting, and compliance tools to RIAs and wealth managers; it competes indirectly with AdvisorAssist by enabling in-house compliance and reducing the need for outsourced CCO services.
• Orion Advisor Solutions: Orion is a large, broadly diversified wealthtech platform offering portfolio accounting, compliance, and practice management to RIAs; while not focused solely on RIA registration/compliance like AdvisorAssist, it competes for the same advisor wallet with bundled solutions.
• ACA Compliance Group: ACA is a larger, PE-backed governance, risk, and compliance firm serving investment management, broker-dealer, and banking clients — a broader incumbent offering overlapping RIA compliance services alongside a much wider portfolio.

Direct peers

• Comply (formerly Compliance Science): Comply offers a compliance technology platform purpose-built for RIAs and broker-dealers, directly overlapping with AdvisorCloud 360's CRAFT-based compliance workflow and regulatory filing management.
• Core Compliance & Legal Services: Core Compliance provides outsourced CCO, regulatory consulting, and mock SEC exam services for RIAs, directly comparable to AdvisorAssist's full lifecycle RIA compliance service stack.
• Cipperman Compliance Services: Cipperman provides outsourced CCO services and compliance consulting for investment advisers and hedge funds, competing head-to-head with AdvisorAssist's Compliance Advantage and mock exam offerings.
• RIA in a Box: RIA in a Box provides outsourced compliance, registration, and cybersecurity services specifically for registered investment advisors, overlapping directly with AdvisorAssist's RIA Registration Essentials/Advantage and ongoing compliance offerings.
• Stratis Group: Stratis Group provides consulting and outsourcing for broker-dealers and investment advisers including registration and compliance support, directly comparable to AdvisorAssist's service portfolio.
• National Regulatory Services (NRS): NRS provides regulatory compliance consulting, registration, and continuing education for investment advisers and broker-dealers, directly competing with AdvisorAssist's registration and compliance consulting practice.

Emerging players

• Foundation Software / Foundation Investment Advisors: Foundation Software provides compliance and back-office technology for investment advisers, serving a similar SMB RIA segment with overlapping registration and ongoing compliance tooling.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat6 records

Key risks6 records

Key highlights6 records

Customer concentration

• Xx.com/advisorassist
• Facebookfacebook.com/advisorassist
• LinkedInlinkedin.com/company/advisorassist

Revenue estimate

Valuation estimate

Number of profiles

Profiles7 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 AdvisorAssist