Name

Integrated Compliance Advisors, Ltd.

Legal name

Integrated Compliance Advisors, Ltd.

Website

https://integrated-compliance.com

Company type

Private

Operating status

Operating

Headcount range

1–10 employees

Ownership category

akta.pro rank

Product category

Regulatory Compliance Advisory

NAICS

Portfolio Management and Investment Advice (523940), Security Systems Services (except Locksmiths) (561621)

akta.pro primary industry

Regulatory Compliance Advisory (BPAHAFAB)

akta.pro secondary industries

Security Governance, Risk & Compliance (GRC) Advisory (BPAKADAG), Cybersecurity & Identity Consulting (BPAHAEAG)

Keywords

• SEC compliance advisory
• Cybersecurity risk assessment
• Investment advisor compliance
• Virtual CISO services
• Marketing rule compliance

Headquarters

HQ city

Boulder

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 Advisory Services: Tiered subscription services (Essential, Fundamental, Integrated) providing ongoing compliance support, CCO guidance, and regulatory filing services for RIAs. Contracts operate on month-to-month basis with one-year commitment encouraged.
2. Cybersecurity Services: Managed cybersecurity programs with vCISO services, risk assessments, vulnerability scanning, and policy document customization across three service tiers.
3. Creative Services: Branding, rebranding, and recurring marketing services with SEC Marketing Rule compliance. Includes website creation, professional photography, video production, and ongoing marketing collateral support.

Pricing tiers

Go-to-market motion1 record

Distribution channels1 record

Marketing channels4 records

Core offering

Integrated Compliance Advisors provides tiered compliance advisory, cybersecurity, and creative services tailored specifically for SEC-registered investment advisors. Service offerings span initial and ongoing SEC registration support, NIST-based cyber risk assessments, vCISO oversight, and SEC Marketing Rule-compliant branding and recurring marketing, delivered through structured Essential, Fundamental, and Integrated subscription packages.

Product overview

Integrated Compliance Advisors (ICA) offers a unified platform of compliance, cybersecurity, and creative services specifically designed for Registered Investment Advisors (RIAs). The product portfolio is structured across three core service pillars: (1) Compliance Services covering FINRA CRD & IARD filings, Form ADV preparation, client advisory agreements, compliance manuals, CCO checklists and coaching, and advertising/marketing review; (2) Cyber Services with three tiers (Essential, Fundamental, and Integrated) providing cybersecurity frameworks, risk assessments, vulnerability scanning, SEC exam readiness, and vCISO services; and (3) Creative Services including branding/rebranding and recurring marketing with SEC Marketing Rule compliance built-in. Services are offered through a client portal and support both initial SEC registrants and existing SEC registrants. The company operates from Boulder, Colorado with a focus on proactive compliance support for the RIA community.

Differentiator

Problem solved

Functional benefit

Products and services

• Existing SEC Registrant Review

Quantifiable outcome

• SEC exam readiness documentation package prepared upon notice of upcoming exam
• +1 more outcomes

Named customers5 records

Segments1 record

Ideal customer profiles1 record

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Integration6 records

Feature4 records

Scale indicators1 record

Recent moves5 records

Expansion highlights4 records

Direct peers

• National Regulatory Services (NRS): Long-standing provider of compliance education, consulting, and technology for investment advisers and broker-dealers. Directly comparable on compliance advisory and SEC exam preparation, with broader scale and an established education/training arm that ICA lacks.
• Cipperman & Company: Specialty compliance consulting firm focused on investment advisers, providing outsourced CCO services, regulatory exams support, and ongoing compliance programs — a near-perfect analog to ICA's compliance pillar. Both serve the same RIA buyer with people-delivered, recurring advisory engagements.
• Core Compliance & Legal Services: Outsourced compliance consulting firm serving RIAs, broker-dealers and private fund managers with CCO support, regulatory filings, and SEC exam preparation. Closely comparable to ICA in target market, recurring service model, and people-led delivery.
• RIA in a Box: Compliance software and services platform built specifically for SEC-registered investment advisers, offering policies, procedures, cybersecurity tools, and exam-readiness content. Competes with ICA on the compliance and cyber pillars and represents the tech-enabled threat to ICA's service-heavy delivery model.
• Comply (ComplySci / Comply): Technology-led compliance platform for investment advisers covering employee surveillance, code of ethics, and marketing review. Overlaps with ICA's SEC Marketing Rule review and overall compliance workflow offerings; represents the software-led alternative to ICA's consulting approach.

Broad incumbents

• ACA Compliance Group: Large multi-product GRC and compliance advisory firm serving asset managers, investment advisers, and banks with consulting, technology, and managed services. Broader and far larger than ICA but directly competes on RIA compliance and cybersecurity mandates.
• BNY Mellon | Pershing (RIA Compliance Solutions): Pershing and BNY offer compliance tools, cybersecurity resources, and marketing review services for RIAs on their platform. Functions as a broad incumbent with overlapping capabilities in compliance and cybersecurity rather than a dedicated niche RIA consultancy.
• Charles Schwab (Compliance & Cybersecurity Services for RIAs): Schwab provides a suite of compliance, cybersecurity, and practice-management resources to independent RIAs that custody with the firm. Overlaps with ICA on cyber risk assessments, vendor due diligence, and compliance content — but as part of a broader custody/platform relationship rather than a pure advisory service.

Others

• Investment Adviser Association (IAA): Trade association for SEC-registered investment advisers, providing advocacy, compliance resources, and member education. Not a direct competitor but a channel partner and ecosystem participant referenced indirectly via ICA's 'professional associations' go-to-market motion.

Emerging players

• Kestrel Compliance: Boutique outsourced CCO and compliance consulting firm for investment advisers. Smaller and earlier-stage than ICA but operating in the same vertical with similar recurring advisory economics; a relevant emerging comparable.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat4 records

Key risks1 record

Key highlights7 records

Customer concentration

• LinkedInlinkedin.com/company/integrated-compliance-advisors-ltd

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 Integrated Compliance Advisors, Ltd.