Adviser Compliance Services

What Adviser Compliance Services does

Adviser Compliance Services is a U.S. private professional services firm founded in 2012 and headquartered in Columbia, that delivers outsourced compliance services to independent registered investment advisers (RIAs). The firm's value proposition is comprehensive compliance support for advisory firms that either lack an in-house Chief Compliance Officer or choose to supplement internal resources with external specialists, addressing obligations under the Investment Advisers Act, state-level securities rules, and ongoing SEC and state examination requirements.

The company's offerings, as described in the available firmographic data, are positioned as end-to-end compliance outsourcing. No specific product modules, technology platforms, proprietary software, or pricing model are disclosed in the source data, and the corporate website currently resolves to a default cPanel hosting error page rather than substantive content, which limits visibility into service packaging, technology stack, and go-to-market mechanics. There is no evidence of self-serve software, integrated platforms, or AI-enabled tooling; the offering is best characterized as a human-delivered professional services engagement.

Adviser Compliance Services operates as a privately held for-profit entity with a headcount in the 11–50 range, consistent with a small to mid-sized specialty consultancy. There is no disclosed funding history, ownership structure, executive team bios, customer logos, partnerships, or awards in the source data, and no M&A, product launch, or geographic expansion activity has been recorded. Revenue, customer count, and pricing are undisclosed, leaving the firm's commercial scale and segment mix inferable only through indirect proxies.

Name

Adviser Compliance Services

Website

https://advisercompliancesvcs.com

Company type

Private

Founded year

2012

Operating status

Operating

Headcount range

11–50 employees

Short description

Adviser Compliance Services, founded in 2012 and based in Columbia, U.S., provides outsourced compliance services to independent registered investment advisers (RIAs) on a private, fee-for-service basis.

Ownership category

akta.pro rank

Headquarters

HQ city

Columbia

HQ country

United States

HQ region

North America

Markets served

GTM type

B2B

Offering type

Services

Cost components

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

Core offering

Adviser Compliance Services offers independent registered investment advisers (RIAs) comprehensive outsourced compliance services. The firm supports RIA clients with regulatory compliance functions as an external service provider.

Differentiator

Problem solved

Functional benefit

Products and services

• Outsourced Compliance Services for RIAs Comprehensive outsourced compliance services delivered to independent registered investment advisers, covering regulatory compliance functions and ongoing support.

Ideal customer profiles1 record

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Direct peers

• Core Compliance & Legal Services: Firm providing outsourced CCO services, regulatory consulting, and examinations support to investment advisers — directly comparable service offering to independent RIAs.
• National Regulatory Services (NRS): Long-standing provider of compliance consulting, training, and resources specifically to investment advisers and broker-dealers. Closely matches Adviser Compliance Services' RIA outsourced compliance offering.
• Focus Compliance & Ethics: RIA-focused compliance consulting firm offering outsourced chief compliance officer services, marketing review, and training — directly comparable specialized services.
• Compliance Risk Concepts: SEC and state-registered investment adviser compliance firm providing outsourced CCO and mock exam services — directly comparable niche consulting offering.
• Oyster Consulting: Consulting firm specializing in regulatory compliance and operations for broker-dealers and RIAs, with a similar boutique outsourced-services model and comparable target client base.
• Cipperman & Company: Boutique compliance consulting firm serving RIAs, hedge funds and private funds. Operates in the same outsourced compliance niche and targets a similar client profile of small-to-mid independent advisers.
• Ascendant Compliance Management: Boutique RIA compliance firm providing outsourced CCO and regulatory consulting services, comparable in scale and offering mix.

Emerging players

• RIA in a Box: Software-and-services compliance platform purpose-built for RIAs, including registered investment adviser compliance program templates and ongoing support. A direct competitor on the technology-enabled outsourced compliance proposition.
• Compliancemax: Smaller outsourced compliance provider serving RIAs with CCO-as-a-service and program development — peer for a small, niche outsourced-compliance firm.

Broad incumbents

• ACA Compliance Group: One of the largest independent providers of compliance, regulatory, and risk management services to the asset management industry. It is a broad incumbent with deep RIA exposure that directly overlaps with Adviser Compliance Services' market.

Market position

Strengths3 records

Weaknesses4 records

Competitive moat3 records

Key risks4 records

Key highlights3 records

Customer concentration

• LinkedInlinkedin.com/company/adviser-compliance-services

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 Adviser Compliance Services