TRADEliance, LLC.

What TRADEliance, LLC. does

TRADEliance, LLC. is a Maple Valley, Washington-based consulting firm founded in 2022 by Jesy LeBlanc and Kat Miller that specializes in trading-operations and regulatory compliance advisory for broker-dealers, clearing firms, and other financial-services clients. The firm concentrates on FINRA, SEC, MSRB, and Federal Reserve frameworks, and its principals hold FINRA licenses and securities-industry credentials that qualify them to provide expert-witness testimony on regulatory matters; TRADEliance is a member of the Securities Expert Registry. Customer testimonials indicate the firm is engaged by compliance and operations leaders at broker-dealers and clearing firms on project-based remediation, supervisory and trading-ops consulting, and regulatory examination support.

The firm monetizes through four revenue streams: (1) project-based consulting engagements, (2) Resource Guides sold off-the-shelf or customized, (3) consultant-led training programs, and (4) Expert Witness Services. Its go-to-market is supplemented by a content ecosystem including the Fines & Wines podcast, free virtual Bullet Point Panels, a weekly newsletter, and Regional Roundtables such as the Minneapolis event scheduled for June 9, 2026. The Resource Guides product line productizes the founders' expertise into a scalable content asset. TRADEliance is structured as a bootstrapped private LLC with 1-10 employees and no outside funding disclosed.

Name

TRADEliance, LLC.

Legal name

TRADEliance, LLC.

Website

https://tradeliance.com

Company type

Private

Founded year

2022

Operating status

Operating

Headcount range

1–10 employees

Short description

TRADEliance, LLC. is a Maple Valley, WA consulting firm founded in 2022 that provides trading-operations, FINRA/SEC compliance, and expert-witness services to broker-dealers and clearing firms through project consulting, Resource Guides, and training.

Ownership category

akta.pro rank

Headquarters

HQ city

Seattle

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel, Marketing or Sales, Operations, Others

Revenue model

1. Consulting Services: TRADEliance provides consulting services to financial firms including process mapping, data integrity testing, surveillance and supervision process development, policies and procedures creation, and regulatory compliance support. These are project-based or ongoing engagements with a goal of enhancing operational efficiency while maintaining compliance obligations.
2. Resource Guides: The firm offers off-the-shelf or custom resource guides including rule recaps, reference guides, checklists, user guides, and resource packets. These provide clients with frameworks, tools, and documentation to support trading operations and compliance functions.
3. Consultant-Led Training: Customized training sessions for employees in trading, operations, or compliance on any step during the lifecycle of a trade. Training is delivered by experienced consultants and tailored to firm-specific needs.
4. Expert Witness Services: Expert witness consulting for attorneys including case assessment, report review/creation, and testimony or depositions for litigation or regulatory matters involving trading desk issues.

Go-to-market motion1 record

Distribution channels3 records

Marketing channels7 records

Core offering

TRADEliance provides consulting, expert witness, training, and resource guide services to financial services firms on trading operations and regulatory compliance matters across the full trade lifecycle. The firm supports broker-dealers, introducing and self-clearing firms, and investment advisers with process mapping, data integrity testing, surveillance and supervision design, policies and procedures creation, and FINRA/SEC rule interpretation.

Product overview

TRADEliance, LLC. is a consulting firm offering a unified suite of professional services for trading operations and compliance professionals. The core offerings consist of Consulting Services (including expert witness support), Consultant-Led Training, and a product line called Resource Guides (comprising Rule Recaps, Reference Guides, Checklists, User Guides, Resource Packets, and Custom Resource Guides). These are supplemented by content offerings including Bullet Point Panels (virtual discussions), a Fines & Wines Podcast, a Weekly Newsletter, and in-person Trading Operations and Compliance Roundtables. Named use case products include Trade Confirmation Checklists and a Fixed Income Trading Operations User Guide. The company was founded in 2022 by Jesy LeBlanc and Kat Miller.

Differentiator

Problem solved

Functional benefit

Products and services

• Consulting Services Professional consulting services for trading operations and compliance, including process mapping, data integrity testing, surveillance and supervision design, policies and procedures creation, regulatory exam support, and expert witness services, delivered to broker-dealers, clearing firms, and investment advisers.
• Consultant-Led Training Customized training sessions for employees in trading, operations, or compliance roles covering any step during the lifecycle of a trade, tailored to the firm's specific processes, systems, and procedures.
• Resource Guides A product line of user-friendly solutions and reference materials including Rule Recaps, Reference Guides, Checklists, User Guides, Resource Packets, Trade Confirmation Checklists, Fixed Income Trading Operations User Guide, and Custom Resource Guides, designed to support compliance and operations professionals in their daily tasks.
• Expert Witness Services Objective, credible analysis for attorneys in the specialized area of trade desk support, including case assessment, report review and creation, and testimony or depositions for litigation or regulatory matters involving trading desk issues.

Quantifiable outcome

• Projects completed on time and on budget
• +1 more outcomes

Named customers4 records

Segments3 records

Ideal customer profiles2 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Partnerships

One partnership is on record.

• Securities Expert RegistryminorOthersTRADEliance is listed as a member of the Securities Expert Registry (SER), a directory connecting attorneys with expert witnesses and consultants in securities and financial industry matters. This membership provides visibility to legal professionals seeking expert consulting services.

Scale indicators1 record

Recent moves5 records

Expansion highlights4 records

Broad incumbents

• PwC Financial Services Advisory: PwC's Financial Services Advisory provides regulatory compliance, operations, and risk consulting to broker-dealers and banks, competing with TRADEliance at the enterprise end of the same market.
• EY Financial Services: EY's Financial Services Organization delivers regulatory and operations consulting across broker-dealers, asset managers, and capital-markets firms — a broad incumbent peer with overlapping compliance and trading-operations capabilities.
• Accenture Financial Services Compliance: Accenture provides large-scale regulatory compliance and operations transformation services to global financial institutions, overlapping TRADEliance's trade-lifecycle and compliance consulting at enterprise scale.
• Deloitte Risk & Financial Advisory: Deloitte's Risk & Financial Advisory practice offers large-scale regulatory compliance, trading surveillance, and capital-markets consulting to global financial institutions, overlapping with TRADEliance's services but at much broader scale.
• KPMG Financial Services Advisory: KPMG's Financial Services practice delivers regulatory, operations, and compliance advisory work to capital-markets clients, representing the large incumbent alternative to boutique providers like TRADEliance.

Emerging players

• Wolters Kluwer Compliance Solutions: Wolters Kluwer provides compliance content, reference tools, and software used by broker-dealers and advisers to navigate FINRA/SEC rules — adjacent to TRADEliance's Resource Guide library and a credible alternative for firms seeking automated compliance reference tools.

Direct peers

• Cipperman Compliance Services: Cipperman is a boutique financial-services compliance consulting firm serving broker-dealers and investment advisers with outsourced CCO, supervisory, and trading-operations support — a directly comparable boutique peer.
• National Regulatory Services (NRS): NRS provides compliance consulting, education, and technology for broker-dealers and investment advisers, including trading supervision and regulatory exam support — making it a directly comparable peer in the same niche consulting and resource-guide categories.
• ACA Group: ACA Group is one of the largest dedicated compliance, risk, and technology solutions providers for the financial services industry, offering consulting, surveillance, and managed services to broker-dealers and advisers — directly overlapping with TRADEliance's trading-operations and compliance consulting focus.
• Foreside (acquired by ACA Group): Foreside provides broker-dealer and investment-adviser compliance, consulting, and outsourcing services, including FINRA-related supervisory support — directly comparable to TRADEliance's trading-operations and compliance consulting offering.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat4 records

Key risks5 records

Key highlights6 records

Customer concentration

• LinkedInlinkedin.com/company/tradeliance

Revenue estimate

Valuation estimate

Number of profiles

Profiles2 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 TRADEliance, LLC.