Company lists · Data refreshed September 2026
Top 25 Broker compliance software companies based in the United States
RevenueBase identified 140 broker compliance software companies headquartered in the United States as of September 2026 and tracks 5,927 professional contacts across them, including 1,955 with verified work emails. New York is the largest hub.
This list covers broker compliance software companies headquartered in the United States, matched on what each company actually does as described in its own words. Ranked by team size, largest first. Every row shows the company's own description, its RevenueBase Smart Search rating, and when it was last checked. Data refreshed September 27, 2026.
Published by RevenueBase, a B2B data infrastructure company. This list was built with RevenueBase Smart Search, the natural-language company search RevenueBase customers use to build their own targeted lists and unlock verified emails and direct dials at the companies on them. How these lists are built and judged.
The 25 largest broker compliance software companies based in the United States
Ranked by team size| # | Company | Contacts | |||
|---|---|---|---|---|---|
| 1 | 1,740 contacts → | ||||
Strong evidence “DFIN is the leading global provider of compliance and regulatory software and services, fueling end-to-end investment company regulatory compliance needs, complex capital markets…” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 2 | 416 contacts → | ||||
Partial evidence “Aithent creates high-value regulatory compliance management solutions for financial services, government, healthcare and insurance organizations around the globe.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 3 | 308 contacts → | ||||
Partial evidence “At Comply, we pride ourselves on being the champion for compliance professionals.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 4 | 295 contacts → | ||||
Partial evidence “MCO is a global leader on a mission to revolutionize how financial firms tackle compliance, making it simpler, smarter, and more effective.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 5 | 266 contacts → | ||||
Partial evidence “StarCompliance is a leading provider of employee compliance technology solutions.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 6 | 108 contacts → | ||||
Partial evidence “Red Oak’s Compliance Connectivity Platform unifies content creation, review, distribution, and supervision into a single, compliance-grade system built specifically for financial…” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 7 | 62 contacts → | ||||
Partial evidence “Back At You provides a comprehensive all-in-one solution that streamlines brokerage workflows while delivering industry-leading marketing automation.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 8 | 61 contacts → | ||||
Partial evidence “Quest CE helps financial service organizations manage their compliance operations by offering firm training programs, disclosure tracking services and branch audit solutions.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 9 | 52 contacts → | ||||
Strong evidence “InvestEdge's ComplianceEdge is a revolutionary Trade Supervision & Account Monitoring platform that enables Broker Dealers, RIAs and Bank Trust companies to provide their…” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 10 | 35 contacts → | ||||
Partial evidence “Compliance Solutions With Best in Class Operational Support Orical LLC offers the best-in-class, customized, practical and technical solutions for the compliance, operations and…” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 11 | 31 contacts → | ||||
Indirect evidence “In high-risk business banking, reputation is everything.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 12 | 30 contacts → | ||||
Indirect evidence Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 13 | 28 contacts → | ||||
Indirect evidence “Potomac River Partners is a specialized management consulting firm offering a variety of services to meet our clients’ challenges.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 14 | 28 contacts → | ||||
Partial evidence “AccountTECH helps real estate brokerages simplify accounting, automate commission management, improve profitability, and gain financial visibility through real estate accounting…” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 15 | 22 contacts → | ||||
Indirect evidence “LanTrax is a diversified technology organization, committed to improving process, accessibility, and profitability for its clients.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 16 | 22 contacts → | ||||
Partial evidence “100% Commission Brokerage,$495 per transaction fee and a $99 per transaction risk management fee.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 17 | 21 contacts → | ||||
Strong evidence “17a-4 LLC is a leading provider of compliance software and consulting services.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 18 | 21 contacts → | ||||
Indirect evidence Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 19 | 19 contacts → | ||||
Partial evidence “ComplianceEase, a SitusAMC company, is a leading provider of risk management solutions to the financial services industry.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 20 | 17 contacts → | ||||
Partial evidence “At Simon Compliance, each of our clients receives a customized compliance program designed by a former SEC enforcement attorney who knows what it takes to comply with the…” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 21 | 17 contacts → | ||||
Strong evidence “Smartria is a powerful, easy-to-use cloud-based software solution designed to meet the specialized needs of compliance consultants, investment advisors, and CCOs.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 22 | 16 contacts → | ||||
Partial evidence “Residential real estate brokerages are choosing Brokermint as they consolidate their back offices.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 23 | 15 contacts → | ||||
Indirect evidence “Providing Solutions.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 24 | 15 contacts → | ||||
Partial evidence “BCompliant bridges the gap between real estate, compliance, and technology and provides a more effective and transparent process towards ensuring compliance.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 25 | 15 contacts → | ||||
Partial evidence “Trillium Surveyor delivers powerful, intuitive trade surveillance and best execution analytics software.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
RevenueBase Smart Search
RevenueBase Smart Search assesses information from a company’s LinkedIn profile, information supplied directly by the company, its website, and other publicly available sources. It uses that information to rate how closely the company relates to this list’s category: broker compliance software companies. Every row carries its rating and the description the rating was read from, so each one can be checked rather than taken on trust.
- Strong evidence
- The company's own public description of its business names broker compliance software companies.
- Partial evidence
- Its own public description names part of broker compliance software companies, so it works in or next to the category without describing itself that way.
- Indirect evidence
- The description shown does not name broker compliance software companies. The match rests on the rest of the company's public profile rather than the one sentence quoted here, so this is the rating to check first.
RevenueBase Smart Search is how these lists are built: RevenueBase's data engine and AI assemble the companies that match a category defined in a user's own words, so a list can be about what companies actually do rather than about whichever industry code they were filed under.
Showing 25 of 140 broker compliance software companies based in the United States
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Broker compliance software companies based in the United States at a glance
As of Sep 27, 2026Companies by employee count
Email recency for this list is measured worldwide rather than for United States, so it is reported there. Company counts and contact totals on this page are exact for United States, over 140 companies.
How this list was built
Company categories are rarely black and white. RevenueBase reads each company's own description of its business to decide whether it belongs among broker compliance software companies, so some rows will be adjacent to the category rather than pure plays. The description and RevenueBase Smart Search rating on every row are there so you can check each match yourself.
- Source
- The RevenueBase company graph: 60 million companies and 398.9 million professional contacts resolved from primary sources, queried with RevenueBase Smart Search, the natural-language company search available to every RevenueBase user.
- What qualifies
- Companies headquartered in the United States whose own description of what they do matches “broker compliance software companies”. Matching reads each company's description, not its industry code or its name.
- RevenueBase Smart Search
- RevenueBase Smart Search is how this list is assembled and how each row is rated. RevenueBase's data engine and AI assess a company's LinkedIn profile, information supplied directly by the company, its website and other publicly available information, then relate it to a category defined in a user's own words. Each row is rated strong evidence (its own description names broker compliance software companies), partial evidence (it names part of the category) or indirect evidence (the description shown names none of it and the match rests on the rest of the company's profile). The description supporting each rating is quoted on the row.
- What we exclude
- Companies whose own description does not clearly place them among broker compliance software companies, and records with no verified work email. Companies headquartered outside United States are excluded even when they keep an office there.
- Match quality
- In blind human judging of this matching method, 86% of matched companies were on target. Expect roughly 1 in 7 rows to be adjacent to the category rather than a pure play. Every row shows the company's own description and its RevenueBase Smart Search rating so you can judge each match yourself. Read the full methodology: how the lists are built, how the judging worked, and what the figure means.
- Ranking
- Team size, largest first: companies are ordered by the number of professionals RevenueBase tracks at each one. Employee ranges shown are reported bands, for context.
- Verification
- Every listed company carries at least one verified work email, 1,955 across the full list. Contacts re-verify on a rolling cadence, and each contact's own verification date is shown inside RevenueBase.
- Refresh
- This page's figures were pulled from the company graph on September 27, 2026. Lists refresh periodically as the graph is re-checked.
- Corrections
- Wrong category, wrong headquarters, or a company that has closed? Use “Report an issue” on any row. Reports go to the RevenueBase Data Team and feed back into the company graph.
Frequently asked
What is RevenueBase Smart Search?
RevenueBase Smart Search is how RevenueBase decides which companies belong on this list and how strongly each one fits. Its data engine and AI assess a company's LinkedIn profile, information supplied directly by the company, its website and other publicly available information, then relate it to the category the list is about. Each row is rated strong evidence when the company's own description names broker compliance software companies, partial evidence when it names part of the category, and indirect evidence when the description shown names none of it and the match rests on the rest of the company's profile.
How many broker compliance software companies are there based in the United States?
RevenueBase identified 140 broker compliance software companies headquartered in the United States as of September 2026, matched on each company's own description of what it does rather than its industry code.
What is the largest company on this list?
Donnelley Financial Solutions Dfin, headquartered in Lancaster, tops this list with the largest team on record.
Which city has the most broker compliance software companies?
New York leads with 20 headquartered companies, followed by Chicago (5) and Atlanta (4).
How do I get contact information for these companies?
A free RevenueBase account lets you run this exact search and work the top results, verified emails and direct dials included. Upgrading unlocks all 1,955 verified decision-maker contacts tracked across these 140 companies.
How current is this list?
The list refreshes periodically as the company graph is re-checked. This page's figures were pulled on September 27, 2026.
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About this data
RevenueBase is a B2B data infrastructure company. Its company graph covers 60 million companies and 398.9 million professional contacts, with emails verified on a rolling cadence rather than scraped once and left to decay. These company lists are generated directly from that graph with RevenueBase Smart Search, the same natural-language company search every RevenueBase user has: describe a market in plain words, get the companies that match, and add verified emails and direct dials for the people at them. It is the same data that powers RevenueBase's B2B data products, and a free account includes 500 credits to start. How these lists are built and judged.
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