Our technology solutions streamline the compliance process so you can get back to what is most important.

RIA Compliance Technology is a compliance management solutions provider. Founded in 2017, after a realization for the need of CompTech in the financial services industry, our technology is designed by compliance professionals, for compliance professionals. Providing simple, structured and organized solutions that meet and exceed demanding compliance standards, we empower financial professionals to be proactive so they can focus on what they do best. 

RIA Compliance Technology solutions include the Simple Compliance Portal, Simple Email Archive, and Simple Trade Monitor. Our solutions are tailored to the individual needs of our clients, so you can optimize your compliance process.

RIA Compliance Technology

Org chart

Teams

Offices