AdvisorAssist
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.
- Company typePrivate
- Founded2006
- HeadquartersMarshfield, United States
- Headcount11–50
- GTM typeB2B
- OfferingServices
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.
AdvisorAssist firmographics
Firmographics- 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
AdvisorAssist industry classification
Industry- 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
Where AdvisorAssist is headquartered
LocationHeadquarters
- HQ city
- Marshfield
- HQ country
- United States
- HQ region
- North America
Offices1 record
Markets served
AdvisorAssist business model
Business model- GTM type
- B2B
- Offering type
- Services
- Cost components
- Personnel, Technology or R&D, Operations, Marketing or Sales, Infrastructure
Revenue model
- 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.
- 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.
- 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
| Model | Billing | Price |
|---|---|---|
| Other | Annual | RIA Registration Essentials - Core registration services for new RIA firms covering SEC/state registration, compliance program design, client agreements, custodian selection, and training |
| Other | Annual | RIA Registration Advantage - Full-service registration with business model planning, unlimited ADV filing changes for 1 year, up to 5 IARs, custodian selection, and social media policy development |
| Subscription | Monthly | Compliance Advantage - Comprehensive ongoing compliance partnership with quarterly risk assessments, professional phone support, and AdvisorCloud access |
| Subscription | Monthly | Compliance Essentials - Cost-effective compliance guidance and tools to supplement internal compliance activities |
Go-to-market motion1 record
Distribution channels4 records
Marketing channels9 records
AdvisorAssist product offering
Product offeringCore 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
Companies that use AdvisorAssist
Customer profileNamed customers2 records
Segments4 records
Ideal customer profiles3 records
AdvisorAssist technology and API
TechnologyTechnology focussed Yes
API detail
- Has API
- No
- API docs
- API detail
Core technology
AI maturity
App detail
Feature3 records
AdvisorAssist partnerships and signals
Strategic signalScale indicators4 records
Recent moves4 records
Expansion highlights5 records
AdvisorAssist competitors and assessment
Company assessmentBroad 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
AdvisorAssist social profiles
Digital presenceAdvisorAssist financial estimates
Financial estimateRevenue estimate
Valuation estimate
AdvisorAssist leadership team
Management profileNumber of profiles
Profiles7 records
AdvisorAssist funding detail
Funding detailFunding overview
Funding rounds
Investors
Funding detail is available on the Subscription and Enterprise plan.Contact sales →
AdvisorAssist 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 AdvisorAssist
What does AdvisorAssist do?
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.
Is AdvisorAssist a public or private company?
AdvisorAssist is a private company. It is classified as founder individual operated bootstrapped and is currently operating.
When was AdvisorAssist founded?
AdvisorAssist was founded in 2006. It employs 11 to 50 people.
Where is AdvisorAssist based?
AdvisorAssist is headquartered in Marshfield, United States, in the North America region.
How does AdvisorAssist make money?
Three revenue lines are on record. Professional Consulting Services are the primary driver. The others are RIA Registration Services and ongoing Compliance Support.
Who are AdvisorAssist's main competitors?
Broad incumbents on record are Envestnet, Orion Advisor Solutions and ACA Compliance Group. Direct peers are Comply (formerly Compliance Science), Core Compliance & Legal Services, Cipperman Compliance Services, RIA in a Box, Stratis Group and National Regulatory Services (NRS). Foundation Software / Foundation Investment Advisors is listed as an emerging player.
Does AdvisorAssist have an API?
No public API is recorded for AdvisorAssist.
What industry is AdvisorAssist in?
AdvisorAssist's product category is Investment Advisor Compliance & Registration Consulting. Its primary akta.pro industry code is BPAHADAA, Corporate Strategy Advisory, with a secondary code of FSAEAAAM, Fee-Based Advisory. Its NAICS code is 54161 and its SIC code is 8742.