RIA Compliance Technology
Legal Solutions · Arizona, United States · 1-10 Employees
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Overview
Headquarters
10031 E Dynamite Blvd, Scottsdale, Arizo...Phone Number
(714) 475-2155Website
www.riacomptech.comRevenue
<$5 MillionIndustry
ZI Rank: 1
Signal Type
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About RIA Compliance Technology
RIA Compliance Technology offers a streamlined compliance software solution designed for investment advisors, broker-dealers, and consultants. Their platform simplifies email archiving, trade monitoring, and compliance data collection, allowing users to manage compliance tasks efficiently and effectively. The company caters to both small and large RIA firms, as well as compliance consulting firms, providing customizable services and unlimited support. With a focus on reducing legal exposure and improving audit processes, RIA Compliance Technology aims to make compliance management easier and faster for its clients.Explore more
RIA Compliance Technology Org Chart
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RIA Compliance Technology Tech Stack
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RIA Compliance Technology News & Media
Growing RIAs May Be Outgrowing Their Compliance Systems Faster Than They Realize
RIA Compliance Technology examines how growing RIAs stay organized and exam-ready without relying on spreadsheets or manual oversight. PHOENIX, AZ, UNITED STATES, June 4, 2026 /EINPresswire.com/ -- As registered investment advisory firms grow, the …Why New RIA Firms Are Moving Beyond Manual Compliance to Always-On Readiness
Industry insights show RIAs spend $29,000+ and 650 hours annually on manual processes, driving demand for always-on compliance systems PHOENIX, AZ, UNITED STATES, March 26, 2026 /EINPresswire.com/ -- Registered Investment Advisors (RIAs) are facing …Compliance Experts Call for Process-Driven SEC Form ADV Compliance to Reduce Reconciliation Risk
Structured change tracking can reduce version confusion and improve SEC Form ADV defensibility. PHOENIX, AZ, UNITED STATES, February 24, 2026 /EINPresswire.com/ -- As Registered Investment Advisors and smaller advisory firms prepare for upcoming …2026 RIA Filing Roadmap Highlights Year-Round Compliance Requirements for Registered Investment Advisors
The guidance breaks down quarterly and annual compliance deadlines, helping RIAs prepare proactively and avoid last-minute filing pressure. PHOENIX, AZ, UNITED STATES, January 30, 2026 /EINPresswire.com/ -- RIA Compliance Technology, a compliance …
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RIA Compliance Technology offers a streamlined compliance software solution designed for investment advisors, broker-dealers, and consultants. Their platform simplifies email archiving, trade monitoring, and compliance data collection, allowing users to manage compliance tasks efficiently and effectively. The company caters to both small and large... Read More
