U.S. Compliance Consultants

What U.S. Compliance Consultants does

U.S. Compliance Consultants is a privately held, Greenwich, Connecticut-based professional services firm that provides regulatory compliance consulting exclusively to U.S. investment advisers. The firm was established around 2017 (per the company-history timeline; firmographics data alternatively lists 2004, an unresolved discrepancy in the source) and operates from a single headquarters location at 15 East Putnam Avenue, Suite 286, with a headcount in the 1-10 employee range. It is structured as a direct-engagement consulting practice — there is no proprietary software platform, no disclosed APIs, and no technology stack marketed as a product.

The service offering is organized into six core lines aimed at SEC-registered and state-registered investment advisers: annual registration renewal, investment adviser registration (including Form ADV preparation and filing), compliance program development, ongoing compliance support (including SEC examination preparation and mock audits), custom services, and business succession planning. The firm also extends into the private-fund segment, supporting hedge fund and private equity advisers with Form PF filings and private-fund examination readiness. Customer concentration is in three overlapping verticals: SEC-registered investment advisers (primary), state-registered investment advisers, and managers of private investment funds.

Name

U.S. Compliance Consultants

Legal name

U.S. Compliance Consultants

Website

https://uscomplianceconsultants.com

Company type

Private

Founded year

2004

Operating status

Operating

Headcount range

1–10 employees

Short description

U.S. Compliance Consultants is a Greenwich, Connecticut-based compliance consulting firm that helps SEC- and state-registered investment advisers, hedge funds, and private equity managers with registration, Form ADV filings, compliance program development, and SEC examination preparation.

Ownership category

akta.pro rank

Product category

Regulatory Compliance Consulting

NAICS

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

SIC

Services-Management Consulting Services (8742)

akta.pro primary industry

Regulatory Compliance Advisory (BPAHAFAB)

akta.pro secondary industries

Risk, Compliance & Internal Controls Consulting (BPAHACAJ), Risk Management Consulting (Enterprise & Operational Risk) (FSAEADAG)

Keywords

• Investment adviser compliance
• SEC registration services
• Compliance program development
• Regulatory consulting services
• Form ADV preparation

Headquarters

HQ city

Greenwich

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

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

Revenue model

1. Compliance Consulting Services: Professional compliance consulting services provided to investment advisers including annual registration renewals, investment adviser registration, compliance program development, compliance support, custom services, and business succession planning.

Go-to-market motion1 record

Distribution channels1 record

Marketing channels3 records

Core offering

U.S. Compliance Consultants provides professional compliance consulting services to investment advisers, including annual registration renewals, SEC and state investment adviser registration, compliance program development, ongoing compliance support (including SEC examination preparation and mock audits), custom compliance solutions, and business succession planning. The firm serves SEC-registered investment advisers, state-registered advisers, and private fund managers (hedge funds and private equity).

Product overview

U.S. Compliance Consultants provides a suite of compliance consulting services for investment advisers, consisting of six core service offerings: Annual Registration Renewal, Investment Adviser Registration, Compliance Program Development, Compliance Support, Custom Services, and Business Succession. The company does not offer a software platform but rather provides expert advisory services to help investment advisers navigate SEC and state regulatory requirements, develop compliance frameworks, and maintain regulatory compliance.

Differentiator

Problem solved

Functional benefit

Products and services

• Annual Registration Renewal Assistance with annual registration renewal processes for investment advisers with regulatory bodies, ensuring timely and accurate filing.
• Investment Adviser Registration Support for registering as an investment adviser with the SEC or state regulatory authorities, including Form ADV preparation and filing.
• Compliance Program Development Development and implementation of compliance policies, procedures, and risk assessment frameworks for investment advisers.
• Compliance Support Ongoing compliance support including SEC examination preparation, mock audits, and compliance manual review for investment advisers.
• Custom Services Tailored compliance solutions addressing specific regulatory or business needs of investment advisers.
• Business Succession Planning and implementation support for business continuity and succession transitions in investment advisory firms.

Segments3 records

Ideal customer profiles3 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Scale indicators1 record

Recent moves3 records

Expansion highlights3 records

Emerging players

• RIA in a Box: RIA in a Box offers a SaaS platform for investment adviser compliance, including policies & procedures, risk assessments, cybersecurity, and code of ethics — overlapping with U.S. Compliance Consultants' manual compliance program development but delivering it via technology. Represents the automation threat and a potential acquisition/complementary target.
• Red Oak Compliance Solutions: Red Oak offers software-driven advertising compliance review and supervisory tools for broker-dealers and investment advisers, addressing the marketing rule and code of ethics reviews — directly overlapping with U.S. Compliance Consultants' ongoing compliance and marketing rule support services in a technology-led format.

Direct peers

• Cipperman Compliance Services: Cipperman is a specialized investment adviser and private fund compliance consultancy providing CCO services, SEC examination prep, Form ADV filings, and mock audits — directly comparable to U.S. Compliance Consultants' core offerings and target customer base of SEC-registered RIAs and hedge funds.
• National Regulatory Services (NRS): NRS is a leading provider of compliance consulting and education services for investment advisers, broker-dealers, and investment companies, with deeply overlapping services including investment adviser registration, annual renewals, and compliance program development — a close direct competitor and roll-up candidate.
• ACA Group (formerly ACA Compliance Group): ACA Group is the largest US-based provider of investment adviser and broker-dealer compliance, performance, and risk services, directly competing with U.S. Compliance Consultants across SEC registration, mock SEC exams, and ongoing compliance program support for RIAs and private fund managers. It is the most logical strategic acquirer or comparable for valuation benchmarking.
• Core Compliance (an Oyster Consulting company): Core Compliance provides outsourced CCO, regulatory consulting, and compliance program development for investment advisers and private funds — a direct peer with overlapping service lines (annual reviews, SEC exam prep, custody rule compliance) and a similar niche focus on RIA compliance.

Broad incumbents

• Confluence (Compliance Technology): Confluence provides compliance, performance, and regulatory reporting solutions for asset managers and investment advisers, including Form N-CEN, AIFMD, and other regulatory reporting — a broader incumbent offering technology-enabled compliance solutions overlapping with U.S. Compliance Consultants' regulatory filing and Form ADV services.
• Smarsh (including Compliance Complete for RIAs): Smarsh acquired the RIA-focused Compliance Complete business and provides archiving, supervision, and compliance software and consulting for investment advisers. It competes broadly with U.S. Compliance Consultants across compliance support, supervision, and ongoing program management and represents the tech-enabled incumbent.
• Wolters Kluwer Compliance Solutions: Wolters Kluwer provides regulatory compliance software (TeamMate, eForms) and advisory content serving investment advisers, broker-dealers, and banks — a broad incumbent whose compliance tooling and advisory content partially overlap with U.S. Compliance Consultants' regulatory advisory services.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat2 records

Key risks5 records

Key highlights6 records

Customer concentration

Revenue estimate

Valuation estimate

Number of profiles

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 U.S. Compliance Consultants