RIA Compliance Key

What RIA Compliance Key does

RIA Compliance Key is a privately held, boutique regulatory compliance consulting firm founded in 2020 by Kristen Guerrero and headquartered in the Olathe, Kansas (Kansas City metro) area. The firm delivers outsourced compliance services exclusively to Registered Investment Advisors (RIAs), anchored by a core Compliance Program that bundles a customizable electronic compliance calendar and portal, recurring monthly meetings, SEC filings and ADV support, regulatory exam assistance, internal and mock audits, policy documentation (Disaster Recovery, Business Continuity, Code of Ethics, Cybersecurity, Privacy), risk assessment testing across 20+ topics, an annual CCO report, OBA review, correspondence review, and social media/email review. Two modular add-on services — an Outsourced CCO offering gated to existing Compliance Program clients and a hands-on Mock Exam & Exam Support service — sit on top of the same compliance infrastructure.

The business operates as a human-delivered professional services practice rather than a technology platform; there is no proprietary software, no AI/ML capability, no app, and no API surface. Delivery is performed by Series-licensed consultants (the founder holds Series 7, 24, 53, 63, and 65 credentials), with a second compliance consultant, Emily Roynesdal, joining in November 2024. Go-to-market is sales-led and relationship-driven, relying on direct outreach via Calendly, email, and phone, supplemented by thought-leadership content including a published book chapter, a podcast appearance, a compliance blog, and a downloadable benchmark study.

The firm generates revenue through customized, quote-based subscription and professional-services engagements, with monthly billing on the core Compliance Program and scope-defined pricing for Outsourced CCO and Mock Exam work; pricing is not publicly disclosed. Customers are unnamed RIA firms in a single vertical (Financial Services — Investment Advisory), with operating geography described as the Midwest United States and no stated geographic restrictions, and the client base is intentionally described as an "exclusive clientele" served by a small delivery team.

Name

RIA Compliance Key

Legal name

RIA Compliance Key

Website

https://riacompliancekey.com

Company type

Private

Founded year

2020

Operating status

Operating

Headcount range

1–10 employees

Short description

RIA Compliance Key is a privately held, boutique regulatory compliance consulting firm founded in 2020 that provides outsourced compliance programs, Outsourced CCO services, and SEC exam support exclusively to Registered Investment Advisors from its Olathe, Kansas base.

Ownership category

akta.pro rank

Product category

Regulatory Compliance Consulting for Investment Advisers

NAICS

Other Scientific and Technical Consulting Services (541690)

SIC

Finance Services (6199)

akta.pro primary industry

Financial Planning–Led RIAs (FSAAACAB)

akta.pro secondary industries

Investment Management Advisory (RIA) (FSAEAAAB), Portfolio Management–Led RIAs (Discretionary/Model-Based) (FSAAACAC)

Keywords

• RIA compliance consulting
• Outsourced CCO services
• SEC exam support
• Regulatory compliance services
• Investment adviser compliance

Headquarters

HQ city

Olathe

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, Others

Revenue model

1. Compliance Program Services: Full-service compliance consulting including customizable electronic compliance calendar, monthly meetings, SEC filings, regulatory exam assistance, internal audits, policy reviews, and ongoing compliance support. Billed via customized billing options rather than one-size-fits-all model.
2. Outsourced CCO Services: Chief Compliance Officer outsourcing available exclusively to current Compliance Program clients. Custom scope and pricing.
3. Mock Exam & Exam Support Services: Hands-on SEC examination preparation including mock exams, document preparation guidance, response guidance, and communication support before, during, and after regulatory exams.

Pricing tiers

Go-to-market motion1 record

Distribution channels1 record

Marketing channels5 records

Core offering

RIA Compliance Key is a boutique regulatory compliance consulting firm that provides Registered Investment Advisors (RIAs) with a full-service Compliance Program covering SEC filings, regulatory exam support, internal/mock audits, compliance manual review, policy documentation, risk assessment testing, and ongoing monthly compliance meetings. It also offers outsourced Chief Compliance Officer (CCO) services and dedicated mock examination and exam-day support as modular add-ons to its core program.

Product overview

RIA Compliance Key is a boutique regulatory compliance consulting firm offering a unified service portfolio anchored by its Compliance Program — a comprehensive full-service offering that encompasses compliance calendar management, monthly CCO meetings, SEC filings, regulatory exam assistance, internal audits, policy documentation, risk assessments, and ongoing reviews. The firm also provides two modular add-on services: Outsourced CCO (available only to existing Compliance Program clients) and Mock Exam & Exam Support Services (which simulates SEC examination processes and provides exam-day support). The products share a common compliance infrastructure and client-onboarding workflow centered on the electronic compliance portal.

Differentiator

Problem solved

Functional benefit

Products and services

• Compliance Program Full-service compliance program for Registered Investment Advisor firms that bundles a customizable electronic compliance calendar and client portal, routine monthly compliance meetings, ongoing phone support, SEC filings assistance, regulatory exam support, internal and mock audits, compliance manual review, policy documentation (Disaster Recovery, Business Continuity, Code of Ethics, Cybersecurity, Privacy), ADV review and filing, risk assessment testing across more than 20 topics, annual CCO report, OBA review, annual compliance meeting, correspondence review, and social media/email review. Billed on a recurring monthly basis with customized scope and pricing.
• Outsourced CCO Outsourced Chief Compliance Officer service that delivers on-demand CCO-level oversight and delegation to RIA firms. Available only to clients who are already on the firm's Compliance Program, with scope and pricing determined per engagement.
• Mock Exam & Exam Support Services Hands-on SEC examination preparation and support service for RIA firms. Includes mock exams designed to surface compliance gaps and strengthen the program, plus document preparation guidance, response guidance, and communication support before, during, and after regulatory examinations.

Named customers1 record

Segments1 record

Ideal customer profiles1 record

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Partnerships

One partnership is on record.

• ClearView Regulatory Compliance, LLCminorStrategic or Co-development PartnerListed as Mock Examination Partner on the Resources & Partners page. Provides regulatory compliance examination services that complement RIA Compliance Key's service offerings.

Scale indicators1 record

Recent moves5 records

Expansion highlights4 records

Direct peers

• Cipperman Compliance Services: Cipperman is a boutique compliance consulting firm serving RIAs, RIAs in transition, and private fund managers with outsourced CCO, mock SEC exams, and compliance program design. It is one of the closest direct peers to RIA Compliance Key in size, target client, and service mix.
• Core Compliance & Legal Services (CoreCLS): CoreCLS provides outsourced CCO, compliance program design, mock SEC exams, and ongoing compliance support specifically to RIAs. It is a direct peer in both target market and the outsourced-CCO service offering that RIA Compliance Key sells as an add-on.
• RCG (Regulatory Compliance Group): RCG provides outsourced CCO, regulatory consulting, and exam support services to investment advisers, hedge funds, and private funds. It is comparable as a boutique consulting firm serving the same adviser compliance and outsourced CCO niche as RIA Compliance Key.
• ClearView Regulatory Compliance: ClearView Regulatory Compliance is listed as a mock examination partner of RIA Compliance Key and provides regulatory mock exam services to advisers. It is a direct peer in the niche of SEC mock exam preparation and exam-day support.
• Pictet Alternative Advisors (Advisors Compliance Group): Advisors Compliance Group provides compliance consulting, training, and outsourced CCO services for RIAs and investment advisers. It is comparable as a boutique competitor focused on the same RIA compliance program, exam support, and CCO outsourcing services.

Emerging players

• Comply: Comply offers a compliance program management platform tailored to RIAs, broker-dealers, and investment advisers, with features for policy management, training, and reviews. It is comparable as a tech-enabled compliance solution targeting the same workflow as RIA Compliance Key's services.
• RIA in a Box: RIA in a Box provides compliance software and supporting services for RIAs, including policies, procedures, and cybersecurity tools, with optional consulting add-ons. It is comparable as a provider targeting the same RIA compliance workflow that RIA Compliance Key covers, but with a software-led delivery model that competes on price and scalability.
• Compliance Science: Compliance Science provides risk and compliance analytics software for investment advisers, including trade surveillance and code of ethics administration. It is comparable as a technology vendor that automates parts of the RIA compliance program that RIA Compliance Key delivers manually.

Broad incumbents

• National Regulatory Services (NRS): NRS provides compliance consulting, training, and outsourced CCO services to broker-dealers and RIAs. It is comparable as a long-standing incumbent in RIA compliance consulting and regulatory training, directly overlapping with RIA Compliance Key's core compliance program and outsourced CCO offerings.
• ACA Group (ACA Compliance Group): ACA Group is a large, established provider of governance, risk, and compliance solutions to the investment management industry, including RIA-specific compliance consulting, outsourced CCO services, and regulatory exam support. It is comparable as a much larger incumbent offering the same suite of outsourced CCO and SEC exam services that RIA Compliance Key provides, but at greater scale and with technology tooling.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat3 records

Key risks5 records

Key highlights6 records

Customer concentration

• LinkedInlinkedin.com/company/ria-compliance-key

Revenue estimate

Valuation estimate

Number of profiles

Profiles1 record

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 RIA Compliance Key