adroit compliance, llc™

What adroit compliance, llc™ does

Adroit Compliance, LLC is a boutique compliance consulting firm founded in 2016 by Rita Rhodes and headquartered in Rockford, Illinois. The firm specializes in providing practical, right-sized compliance services to small and mid-sized registered investment advisers (RIAs) registered with the SEC or state regulatory agencies, with offerings organized around four integrated service pillars: Registration Filings, Policies and Procedures, Inform and Educate, and Additional Support (including examination readiness and ad hoc consulting).

The core delivery team consists of Managing Member Rita Rhodes (20+ years of regulatory compliance experience, formerly CCO-North America at Morningstar) and Director of Operations Neal Rhodes (joined 2022 from an electrical engineering background), supplemented by two independent contractors — Bailey Drake (Bloom Compliance Consulting, LLC) and Angela Larson (LynnePoint Compliance, LLC). Services are delivered through structured packages with hourly, fixed-fee, and blended pricing options, allowing clients to scope engagements to their compliance budget. Technology stack is limited to client-engagement tools (phone, email, Zoho Bookings scheduling) and a website presence; no proprietary platform, API, or AI capabilities are disclosed.

The firm's go-to-market is sales-led and referral-driven, with no paid acquisition channels, no public pricing, and no disclosed customer logos. As of January 2026, the company is on a temporary pause for new client onboarding, prioritizing existing clients, internal process enhancement, and development of new solutions, while maintaining a wait list for prospective clients. Operations are domestic (United States), revenue is undisclosed, and there are no funding rounds, acquisitions, or parent-company relationships.

Name

adroit compliance, llc™

Legal name

Adroit Compliance, LLC

Website

https://adroitcompliance.com

Company type

Private

Founded year

2016

Operating status

Operating

Headcount range

1–10 employees

Short description

Adroit Compliance, LLC is a Rockford, Illinois-based boutique consulting firm founded in 2016 that provides compliance services — registration filings, policies and procedures, examination readiness, and ongoing regulatory support — to small and mid-sized registered investment advisers in the United States.

Ownership category

akta.pro rank

Product category

Investment Adviser Compliance Consulting Services

NAICS

Offices of Certified Public Accountants (541211)

SIC

Finance Services (6199)

akta.pro primary industry

Regulatory Compliance Advisory (BPAHAFAB)

akta.pro secondary industry

Regulatory Compliance Management (Policies, Attestations, Obligations Mapping) (FSAFAKAG)

Keywords

• Compliance consulting
• Investment adviser compliance
• Regulatory filings
• RIA compliance programs
• SEC compliance services

Headquarters

HQ city

Rockford

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

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

Revenue model

1. Compliance Consulting Services: Professional consulting services provided to registered investment advisers. Services are offered in structured packages with hourly, fixed-fee, and blended pricing options, allowing clients flexibility in engagement and control over their compliance budget.

Pricing tiers

Go-to-market motion1 record

Distribution channels1 record

Marketing channels1 record

Core offering

Adroit Compliance, LLC is a boutique compliance consulting firm that provides practical, right-sized compliance solutions for small to mid-sized registered investment advisers registered with the SEC or state regulatory agencies. Services cover core compliance obligations including registration filings, annual updates, policies and procedures, ongoing monitoring, and examination readiness, delivered through structured packages with hourly, fixed-fee, and blended pricing options.

Product overview

Adroit Compliance, LLC™ is a boutique compliance consulting firm offering a unified set of advisory services for registered investment advisers. The firm provides four integrated service areas: Registration Filings, Policies and Procedures, Inform and Educate, and Additional Support. Services are delivered through structured packages with flexible hourly, fixed-fee, and blended pricing options, enabling advisers to outsource compliance functions according to their specific regulatory needs and budget constraints.

Differentiator

Problem solved

Functional benefit

Products and services

• Registration Filings Assistance in preparing, reviewing, and updating regulatory filings for registered investment advisers, covering initial SEC or state registrations and subsequent amendments. The service targets small to mid-sized advisory firms that need filings completed correctly, accurately, and on time without dedicating internal staff to the process.
• Policies and Procedures
• Inform and Educate
• Additional Support

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

Two partnerships are on record, tiered minor.

• Bloom Compliance Consulting, LLCminorImplementation/ SI/ Consulting PartnerIndependent contractor relationship with Bailey Drake, who has over a decade of investment industry experience. Bailey provides consulting services to Adroit Compliance through her own firm, Bloom Compliance Consulting, LLC. She previously worked with Chicago financial firms in operations, portfolio accounting, and trading roles.
• LynnePoint Compliance, LLCminorImplementation/ SI/ Consulting PartnerIndependent contractor relationship with Angela Larson, who has over 15 years of financial services industry experience with a focus on regulatory compliance. Prior to consulting, she worked at Morningstar with investment, trading, operations, sales, and leadership teams. She provides consulting services to Adroit through her own firm, LynnePoint Compliance, LLC.

Scale indicators2 records

Recent moves5 records

Expansion highlights3 records

Direct peers

• Cipperman Compliance Services: Cipperman Compliance Services is a boutique compliance consulting firm specializing in investment advisers, hedge funds, and private funds. It is one of the closest direct comparables to Adroit in terms of customer segment, service scope, and boutique positioning.
• Compliance Risk Concepts (CRC): Compliance Risk Concepts provides outsourced CCO, compliance program design, and exam support to investment advisers. It is a closely comparable boutique competitor to Adroit in the RIA compliance advisory niche.
• Core Compliance: Core Compliance provides outsourced compliance services and CCO support to investment advisers, closely mirroring Adroit's service model. It is a direct peer in the boutique RIA compliance consulting space.
• OCA Ventures (OCA / Outsourced CCO services): Outsourced CCO and fractional compliance services for investment advisers, offering many of the same registration, policy, and examination-readiness services as Adroit. It is a direct competitor in the boutique RIA compliance space.

Broad incumbents

• National Regulatory Services (NRS): NRS provides compliance consulting, education, and technology solutions to investment advisers, broker-dealers, and other financial firms. It is comparable to Adroit as a regulatory compliance advisory in the RIA space, but with a much larger footprint and broader offerings.
• ACA Compliance Group: ACA Compliance Group is a large, established provider of compliance, risk, and cyber solutions to the investment management industry, including RIAs. It is the dominant scaled incumbent in the same regulatory advisory category Adroit serves, but with a much broader service portfolio.
• Faegre Drinker Compliance Services: Faegre Drinker is a national law and consulting firm with a dedicated investment management compliance practice. It serves a similar RIA client base to Adroit but as part of a full-service law firm, representing a scaled incumbent alternative.

Emerging players

• Comply: Comply is a regulatory technology platform that automates compliance program management for RIAs, broker-dealers, and other financial firms. It overlaps with Adroit's policies-and-procedures and ongoing monitoring services through a tech-led approach.
• RIA in a Box: RIA in a Box is a technology-enabled compliance platform offering policies, procedures, training, and cybersecurity tools to RIAs. It serves the same small-to-mid RIA customer base as Adroit but through a software-driven model, making it a key emerging competitor.

Others

• Finseca: Finseca is a professional association for the financial services industry that provides compliance education, training, and resources, including to RIAs. It is thematically related to Adroit's compliance services and 'Inform and Educate' offering but is a membership/education body rather than a direct competitor.

Market position

Strengths4 records

Weaknesses4 records

Competitive moat3 records

Key risks6 records

Key highlights6 records

Customer concentration

• LinkedInlinkedin.com/company/adroit-compliance-llc

Revenue estimate

Valuation estimate

Number of profiles

Profiles4 records

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 adroit compliance, llc™