What Northpoint Consulting does

Northpoint Consulting (legal entity: Northpoint Regulatory & Compliance Consultants, LLC) is a privately held compliance consulting firm headquartered in Suwanee, Georgia, founded in 2020 with 1-10 employees. The firm provides professional services to Broker/Dealers and Registered Investment Advisers, helping clients establish, implement, and maintain effective compliance programs covering securities laws, rules, and regulations governing NYSE, NASDAQ, FINRA, MSRB, and SEC requirements. Service offerings span approximately 20+ distinct capabilities including AML audits, branch office audits, 3120/3130 and 206(4)-7 certifications, written supervisory procedures, FINOP services, Regulation Best Interest support, RIA startup consulting, Form ADV preparation, annual compliance reviews, expert witness analysis, succession planning, custody compliance, and risk assessment.

The core technology of the firm is human expertise rather than software; the offering is based on over 22 years of securities industry compliance experience, with staff having served in operational principal roles including CCO, FINOP, Options Principal, Municipal Principal, General Securities Principal, and Investment Banking Principal at prior firms. The company does not appear to maintain a proprietary technology platform, API, or software product; no patents, trademarks, integrations, or app products are disclosed, and no AI/ML capabilities are referenced. Delivery is conducted via direct professional engagement, beginning with a free consultation, supported by top-of-funnel content marketing through a blog covering FINRA, SEC risk alerts, and cybersecurity topics.

Northpoint makes money through project-based professional services engagements priced on a custom basis with multi-year contracts available; specific pricing is not publicly disclosed. The customer base is concentrated in two segments - Broker/Dealers and Registered Investment Advisers - with no named reference customers and no disclosed logos. There is no evidence of institutional funding, parent company ownership, partnerships, acquisitions, or external investment; the firm appears founder- or small-group-owned and operates with no press releases or public financial disclosures beyond its corporate website.

Name

Northpoint Consulting

Legal name

Northpoint Regulatory & Compliance Consultants, LLC

Website

https://northpointconsultingllc.com

Company type

Private

Founded year

2020

Operating status

Operating

Headcount range

1–10 employees

Short description

Northpoint Consulting is a U.S.-based compliance consulting firm headquartered in Suwanee, Georgia, serving Broker/Dealers and Registered Investment Advisers with services spanning FINRA, SEC, NYSE, NASDAQ, and MSRB regulatory compliance, audits, written supervisory procedures, and expert witness analysis, powered by over 22 years of principal-level securities industry experience.

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

Risk, Compliance & Internal Controls Consulting (BPAHACAJ)

akta.pro secondary industry

Financial Management & Performance Improvement Consulting (BPAHACAF)

Keywords

• Compliance consulting
• Securities regulation
• Broker dealer services
• Investment adviser compliance
• FINRA compliance

Headquarters

HQ city

Suwanee

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 Consulting Services: Professional consulting services provided to Broker/Dealers and Registered Investment Advisers to help them establish, implement, and maintain compliance systems with securities laws, rules, and regulations. Services include AML audits, branch office audits, written supervisory procedures, training, and expert witness analysis.

Pricing tiers

Go-to-market motion1 record

Distribution channels1 record

Marketing channels1 record

Core offering

Northpoint Consulting is a professional services firm that delivers securities-industry compliance consulting to Broker/Dealers and Registered Investment Advisers. Its offerings span AML audits, branch office audits, 3120/3130 and 206(4)-7 certifications, written supervisory procedures, FINOP services, RIA startup support, annual compliance reviews, expert witness analysis, succession planning, custody compliance, risk assessment and training, aimed at helping firms establish, implement and maintain effective compliance programs with NYSE, NASDAQ, FINRA, MSRB and SEC regulations.

Product overview

Northpoint Consulting offers a comprehensive suite of compliance consulting services to Broker/Dealers and Registered Investment Advisers. The company provides two main service categories: Broker/Dealer Services (including AML Audits, Branch Office Audits, 3120/3130 and 206(4)-7 Certifications, Written Supervisory Procedures, New Membership Applications, FINOP Services, and Regulation Best Interest support) and Investment Advisory Services (including RIA Startup, Licensing and Registration, Form ADV/2Bs, Annual Compliance Reviews, Expert Witness Analysis, Succession Planning/Recovery Plans, Custody, Risk Assessment, and Inventory of Risks). The company leverages over 22 years of securities industry experience focused on NYSE, NASDAQ, FINRA, MSRB, and SEC regulation to help firms build and maintain effective compliance programs.

Differentiator

Problem solved

Functional benefit

Products and services

• AML Audits Anti-Money Laundering audit services for broker/dealers to ensure compliance with applicable AML regulations.
• Branch Office Audits Audit services for branch offices of broker/dealers to assess compliance and supervisory procedures.
• 3120/3130 and 206(4)-7 Certifications Certification services for broker/dealers and investment advisers to meet regulatory filing and compliance requirements.
• Written Supervisory Procedures Development and review of written supervisory procedures for broker/dealers and investment advisers.
• New Membership Applications Assistance with new membership applications for starting a broker/dealer, including changes in membership applications.
• Buy or Sell a Broker/Dealer Advisory services for firms looking to acquire or sell a broker/dealer.
• Compliance Training Compliance training services for broker/dealer personnel including trading reviews, surveillance, and sales practice detection.
• Registration and Licensing (CRD) CRD registration and licensing support for broker/dealer personnel.
• FINOP Services Financial Operations Principal services for broker/dealers.
• Heightened Supervisory Plans Development of heightened supervisory plans for firms requiring enhanced oversight.
• Municipal Underwritings / Municipal Advisory Compliance support for municipal underwriting and municipal advisory activities.
• Regulation Best Interest Compliance Compliance support for broker/dealers and investment advisers to meet Regulation Best Interest requirements.
• RIA Startup Consulting Comprehensive consulting services for launching a registered investment adviser firm, covering formation, registration, written supervisory procedures and Form ADV / Part 2B preparation.
• RIA Licensing and Registration Licensing and registration services for investment advisory firms.
• Form ADV and Part 2B Preparation Preparation and review of Form ADV and Part 2B questionnaires for investment advisers.
• Annual Compliance Reviews Conducting annual compliance reviews for investment advisers as required by regulations.
• Expert Witness Analysis Expert witness analysis and testimony for securities-related litigation and regulatory proceedings.
• Succession Planning / Recovery Plans Development of succession planning and business continuity / recovery plans for investment advisory firms.
• Custody Compliance Compliance consulting for investment adviser custody requirements.
• Risk Assessment Risk assessment services to identify and evaluate compliance and operational risks.
• Inventory of Risks Comprehensive inventory and documentation of firm risks for compliance purposes.

Segments2 records

Ideal customer profiles2 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Scale indicators1 record

Recent moves2 records

Expansion highlights3 records

Direct peers

• Compliance Risk Concepts: Broker-dealer and RIA compliance consulting firm offering supervisory procedures, AML, and registration services. Directly comparable service catalog and target customers to Northpoint.
• Cipperman Compliance Services: Specialist compliance consulting firm serving RIAs and broker-dealers with outsourced CCO services, compliance reviews, and regulatory support. Closely comparable to Northpoint's niche focus, scale, and service mix.
• Vigilant Compliance: Compliance consulting and outsourced CCO firm focused on investment advisers and broker-dealers. Comparable to Northpoint in serving the same regulatory buyer with similar manual, expertise-led engagements.

Broad incumbents

• ACA Group: Large-scale compliance, risk, and performance consulting firm serving asset managers, broker-dealers, and RIAs. Broad incumbent with overlapping capabilities to Northpoint's compliance practice but operating from a much larger platform.
• National Regulatory Services (NRS): Long-established, larger compliance and regulatory consulting firm serving broker-dealers, RIAs, and insurance producers. Overlaps with Northpoint's service lines but operates at meaningfully greater scale and breadth.

Emerging players

• RIA in a Box: Compliance automation platform for RIAs offering policies, procedures, cybersecurity, and review tooling. Adjacent rather than directly competing, but increasingly substitutes for manual consulting work that Northpoint currently performs.

Market position

Strengths4 records

Weaknesses4 records

Competitive moat3 records

Key risks5 records

Key highlights5 records

Customer concentration

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 Northpoint Consulting