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RegComp Financial

RegComp Financial

Outsourced regulatory compliance for investment advisers, funds and broker-dealers.

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Outsourced regulatory compliance for investment advisers, funds and broker-dealers.

RegComp Financial builds and administers compliance programs for RIAs, private funds, broker-dealers, capital acquisition brokers and family offices.
Min project size
Custom quote required
Employees
1–10
Locations
Houston, Texas, United States
Estimated Business Mix by Industry

Estimated regulated-industry mix

100%
Total
  • Online Trading & Prop Firms30%
  • Other70%
Primary focus: Other
Verified in:Online Trading & Prop Firms
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Pricing Snapshot

Starting price
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Pricing model
Contact for pricing
Pricing details

Pricing is tailored to scope, jurisdiction, complexity and delivery model.

Service
Investment Adviser Compliance
RIAPrivate fundsAsset managers

Ongoing compliance support for RIAs, private equity, venture capital and hedge-fund managers.

  • Form ADV
  • Annual review
  • Policies
  • Testing
  • Examination support
Typical timeline: Custom scope
Availability: Custom quote required

Pricing is tailored to scope, jurisdiction, complexity and delivery model.

Investment Advisers
Broker-Dealers
Capital Acquisition Brokers
Examinations

Pricing may vary by scope, market, media spend, and third-party costs. Data was sourced from public materials or confirmed by the vendor.

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RegComp Financial
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