Company lists · Data refreshed September 2026
Top 25 Broker compliance software companies based in the United States
RevenueBase identified 140 company matches for broker compliance software companies associated with 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 company matches for broker compliance software companies associated with the United States, found by RevenueBase SmartSearch using the meaning of business descriptions in its company graph at Exact. Ranked by professionals tracked, largest first. Rows show recorded descriptions where available, Exact search membership and the snapshot date. Data refreshed September 27, 2026.
Published by RevenueBase, a B2B data infrastructure company. This list was built with RevenueBase SmartSearch, 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 → | ||||
Exact match “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…” Recorded in the RevenueBase company graph · Sep 27, 2026 · View company records in RevenueBase | |||||
| 2 | 416 contacts → | ||||
Exact match “Aithent creates high-value regulatory compliance management solutions for financial services, government, healthcare and insurance organizations around the globe.” Recorded in the RevenueBase company graph · Sep 27, 2026 · View company records in RevenueBase | |||||
| 3 | 308 contacts → | ||||
Exact match “At Comply, we pride ourselves on being the champion for compliance professionals.” Recorded in the RevenueBase company graph · Sep 27, 2026 · View company records in RevenueBase | |||||
| 4 | 295 contacts → | ||||
Exact match “MCO is a global leader on a mission to revolutionize how financial firms tackle compliance, making it simpler, smarter, and more effective.” Recorded in the RevenueBase company graph · Sep 27, 2026 · View company records in RevenueBase | |||||
| 5 | 266 contacts → | ||||
Exact match “StarCompliance is a leading provider of employee compliance technology solutions.” Recorded in the RevenueBase company graph · Sep 27, 2026 · View company records in RevenueBase | |||||
| 6 | 108 contacts → | ||||
Exact match “Red Oak’s Compliance Connectivity Platform unifies content creation, review, distribution, and supervision into a single, compliance-grade system built specifically for financial…” Recorded in the RevenueBase company graph · Sep 27, 2026 · View company records in RevenueBase | |||||
| 7 | 62 contacts → | ||||
Exact match “Back At You provides a comprehensive all-in-one solution that streamlines brokerage workflows while delivering industry-leading marketing automation.” Recorded in the RevenueBase company graph · Sep 27, 2026 · View company records in RevenueBase | |||||
| 8 | 61 contacts → | ||||
Exact match “Quest CE helps financial service organizations manage their compliance operations by offering firm training programs, disclosure tracking services and branch audit solutions.” Recorded in the RevenueBase company graph · Sep 27, 2026 · View company records in RevenueBase | |||||
| 9 | 52 contacts → | ||||
Exact match “InvestEdge's ComplianceEdge is a revolutionary Trade Supervision & Account Monitoring platform that enables Broker Dealers, RIAs and Bank Trust companies to provide their…” Recorded in the RevenueBase company graph · Sep 27, 2026 · View company records in RevenueBase | |||||
| 10 | 35 contacts → | ||||
Exact match “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…” Recorded in the RevenueBase company graph · Sep 27, 2026 · View company records in RevenueBase | |||||
| 11 | 31 contacts → | ||||
Exact match “In high-risk business banking, reputation is everything.” Recorded in the RevenueBase company graph · Sep 27, 2026 · View company records in RevenueBase | |||||
| 12 | 30 contacts → | ||||
Exact match Recorded description not available. Recorded in the RevenueBase company graph · Sep 27, 2026 · View company records in RevenueBase | |||||
| 13 | 28 contacts → | ||||
Exact match “Potomac River Partners is a specialized management consulting firm offering a variety of services to meet our clients’ challenges.” Recorded in the RevenueBase company graph · Sep 27, 2026 · View company records in RevenueBase | |||||
| 14 | 28 contacts → | ||||
Exact match “AccountTECH helps real estate brokerages simplify accounting, automate commission management, improve profitability, and gain financial visibility through real estate accounting…” Recorded in the RevenueBase company graph · Sep 27, 2026 · View company records in RevenueBase | |||||
| 15 | 22 contacts → | ||||
Exact match “LanTrax is a diversified technology organization, committed to improving process, accessibility, and profitability for its clients.” Recorded in the RevenueBase company graph · Sep 27, 2026 · View company records in RevenueBase | |||||
| 16 | 22 contacts → | ||||
Exact match “100% Commission Brokerage,$495 per transaction fee and a $99 per transaction risk management fee.” Recorded in the RevenueBase company graph · Sep 27, 2026 · View company records in RevenueBase | |||||
| 17 | 21 contacts → | ||||
Exact match “17a-4 LLC is a leading provider of compliance software and consulting services.” Recorded in the RevenueBase company graph · Sep 27, 2026 · View company records in RevenueBase | |||||
| 18 | 21 contacts → | ||||
Exact match Recorded description not available. Recorded in the RevenueBase company graph · Sep 27, 2026 · View company records in RevenueBase | |||||
| 19 | 19 contacts → | ||||
Exact match “ComplianceEase, a SitusAMC company, is a leading provider of risk management solutions to the financial services industry.” Recorded in the RevenueBase company graph · Sep 27, 2026 · View company records in RevenueBase | |||||
| 20 | 17 contacts → | ||||
Exact match “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…” Recorded in the RevenueBase company graph · Sep 27, 2026 · View company records in RevenueBase | |||||
| 21 | 17 contacts → | ||||
Exact match “Smartria is a powerful, easy-to-use cloud-based software solution designed to meet the specialized needs of compliance consultants, investment advisors, and CCOs.” Recorded in the RevenueBase company graph · Sep 27, 2026 · View company records in RevenueBase | |||||
| 22 | 16 contacts → | ||||
Exact match “Residential real estate brokerages are choosing Brokermint as they consolidate their back offices.” Recorded in the RevenueBase company graph · Sep 27, 2026 · View company records in RevenueBase | |||||
| 23 | 15 contacts → | ||||
Exact match “Providing Solutions.” Recorded in the RevenueBase company graph · Sep 27, 2026 · View company records in RevenueBase | |||||
| 24 | 15 contacts → | ||||
Exact match “BCompliant bridges the gap between real estate, compliance, and technology and provides a more effective and transparent process towards ensuring compliance.” Recorded in the RevenueBase company graph · Sep 27, 2026 · View company records in RevenueBase | |||||
| 25 | 15 contacts → | ||||
Exact match “Trillium Surveyor delivers powerful, intuitive trade surveillance and best execution analytics software.” Recorded in the RevenueBase company graph · Sep 27, 2026 · View company records in RevenueBase | |||||
RevenueBase SmartSearch
Describe a niche business in your own words. RevenueBase SmartSearch compares the meaning of your description with company business descriptions compiled in the RevenueBase company graph. Exact, Similar, Related and Broad control how closely companies must fit.
This list uses Exact for “broker compliance software companies”. Each Exact match badge shows membership in that saved search; it is not an individual similarity score or a service-quality rating. Recorded descriptions are shown where available.
Showing 25 of 140 broker compliance software companies based in the United States
See the full list, filter by size, metro and specialty, and access 1,955 tracked professional contacts with verified work emails. Direct dials are available where recorded.
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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
The recorded descriptions help you assess these company matches. Check a company’s website for its current services and locations.
- Source
- The RevenueBase company graph: 60 million companies and 398.9 million professional contacts resolved from primary sources, queried with RevenueBase SmartSearch, the natural-language company search available to every RevenueBase user.
- What qualifies
- Company records associated with the United States whose business descriptions match “broker compliance software companies” by meaning at the Exact setting. Descriptions are compiled in the RevenueBase company graph from public websites, profiles and company information where available; they are not guaranteed quotations from the company's website.
- RevenueBase SmartSearch
- Describe a niche company in your own words to find businesses by meaning. Exact, Similar, Related and Broad control the breadth of RevenueBase SmartSearch. This saved list uses Exact. Each row's Exact match badge shows inclusion in that search, not an individual score or a service-quality judgment.
- Public preview
- The public preview omits records without a verified work email. Where headquarters information is recorded, preview rows are also filtered to this page’s location. Dataset totals and geographic summaries describe the full matched records before these preview filters.
- Match quality
- RevenueBase's August 25, 2026 study assessed 4,198 description/company pairs across matching settings. The publisher reports 86% good or better at Exact. This evaluates the method across queries; it does not audit this individual list. Recorded company descriptions, where available, help you judge each match yourself. Read the full methodology: how the lists are built and what the study measures.
- 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 displayed company carries at least one verified work email. RevenueBase tracks 1,955 professional contacts with verified work emails across the full matched dataset. 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.
- Record context
- Company records and descriptions can change. Check the company's website for its current services and locations.
Frequently asked
What is RevenueBase SmartSearch?
RevenueBase SmartSearch finds niche companies by the meaning of their business descriptions in the RevenueBase company graph. Exact, Similar, Related and Broad control how closely companies must fit your description. This list uses Exact for “broker compliance software companies”; each Exact match badge shows search membership, not an individual similarity or quality score.
How many broker compliance software companies are there based in the United States?
RevenueBase identified 140 company matches for broker compliance software companies associated with the United States as of September 2026, using the meaning of business descriptions at Exact. This is the recorded matched set in the RevenueBase company graph.
What is the largest company on this list?
Donnelley Financial Solutions Dfin tops the displayed preview by professional contacts tracked in RevenueBase. Recorded headquarters appear in the company rows.
Which city has the most broker compliance software companies?
New York leads with 22 company records, 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 limited free results with 500 credits to start. Upgrading provides access to the 1,955 professional contacts with verified work emails tracked across these 140 companies; direct dials are available where recorded.
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.
Ready to reach these companies? Verified emails and direct dials for all 140 broker compliance software companies based in the United States. Start with a free account, no credit card.
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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 SmartSearch, 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.
More company lists
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- New lists
- AI companies based in the United States
- Cybersecurity companies based in the United States
- Manufacturing companies based in the United States
- Media companies based in the United States
- Oil and gas companies based in the United States
- Real estate companies based in the United States
Company intelligence · public preview
Top 25 broker compliance software companies based in the United States
Find companies in any niche.
Describe the businesses you want in your own words. RevenueBase SmartSearch matches company descriptions by meaning.
RevenueBase records 140 matching company records for broker compliance software companies based in the United States, with 5,927 tracked contacts and 1,955 verified work emails.
This public preview shows 25 selected records ordered by tracked contacts. RevenueBase SmartSearch finds company descriptions that match by meaning at Exact. Snapshot: September 27, 2026.
RevenueBase compiles business descriptions for niche-company discovery; each row shows a recorded excerpt where available. Adapt this search to find the companies and contacts you want.
Top 25 broker compliance software companies based in the United States
The public list shows selected company records with contact and verified-email coverage. Reported employee bands provide separate company-size context.
| # | Company | Headquarters on record | Reported employees | RevenueBase SmartSearch | Tracked contacts |
|---|---|---|---|---|---|
| 1 |  Donnelley Financial Solutions Dfindfinsolutions.comHQ: Lancaster, PA, United StatesReported employees: 1,001-5,000 | Lancaster, PA, United States | 1,001-5,000 | Exact match | 1,740 contacts → |
“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…” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 2 |  Aithent INCaithent.comHQ: New York, NY, United StatesReported employees: 201-500 | New York, NY, United States | 201-500 | Exact match | 416 contacts → |
“Aithent creates high-value regulatory compliance management solutions for financial services, government, healthcare and insurance organizations around the globe.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 3 |  Complycomply.comHQ: New York, NY, United StatesReported employees: 201-500 | New York, NY, United States | 201-500 | Exact match | 308 contacts → |
“At Comply, we pride ourselves on being the champion for compliance professionals.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 4 |  MCO Mycomplianceofficemycomplianceoffice.comHQ: New York, NY, United StatesReported employees: 201-500 | New York, NY, United States | 201-500 | Exact match | 295 contacts → |
“MCO is a global leader on a mission to revolutionize how financial firms tackle compliance, making it simpler, smarter, and more effective.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 5 |  Starcompliancestarcompliance.comHQ: Rockville, MD, United StatesReported employees: 201-500 | Rockville, MD, United States | 201-500 | Exact match | 266 contacts → |
“StarCompliance is a leading provider of employee compliance technology solutions.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 6 |  RED OAKredoak.comHQ: Austin, TX, United StatesReported employees: 51-200 | Austin, TX, United States | 51-200 | Exact match | 108 contacts → |
“Red Oak’s Compliance Connectivity Platform unifies content creation, review, distribution, and supervision into a single, compliance-grade system built specifically for financial…” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 7 |  Back At YOUbackatyou.comHQ: Los Angeles, CA, United StatesReported employees: 51-200 | Los Angeles, CA, United States | 51-200 | Exact match | 62 contacts → |
“Back At You provides a comprehensive all-in-one solution that streamlines brokerage workflows while delivering industry-leading marketing automation.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 8 |  Quest CEquestce.comHQ: Milwaukee, WI, United StatesReported employees: 51-200 | Milwaukee, WI, United States | 51-200 | Exact match | 61 contacts → |
“Quest CE helps financial service organizations manage their compliance operations by offering firm training programs, disclosure tracking services and branch audit solutions.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 9 |  Investedge, INCcompliance-edge.comHQ: Canonsburg, PA, United StatesReported employees: 11-50 | Canonsburg, PA, United States | 11-50 | Exact match | 52 contacts → |
“InvestEdge's ComplianceEdge is a revolutionary Trade Supervision & Account Monitoring platform that enables Broker Dealers, RIAs and Bank Trust companies to provide their…” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 10 |  Orical LLCorical.orgHQ: New York, NY, United StatesReported employees: 11-50 | New York, NY, United States | 11-50 | Exact match | 35 contacts → |
“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…” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 11 |  Shield Complianceshieldbanking.comHQ: Seattle, WA, United StatesReported employees: 11-50 | Seattle, WA, United States | 11-50 | Exact match | 31 contacts → |
“In high-risk business banking, reputation is everything.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 12 | Agent Group Realtyagentgrouprealty.com HQ: Boca Raton, FL, United StatesReported employees: 51-200 | Boca Raton, FL, United States | 51-200 | Exact match | 30 contacts → |
No recorded description excerpt is available for this public record. | |||||
| 13 |  Potomac River Partnerspotomacriverpartners.comHQ: Arlington, VA, United StatesReported employees: 11-50 | Arlington, VA, United States | 11-50 | Exact match | 28 contacts → |
“Potomac River Partners is a specialized management consulting firm offering a variety of services to meet our clients’ challenges.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 14 |  Accounttechaccounttech.comHQ: Billerica, MA, United StatesReported employees: 11-50 | Billerica, MA, United States | 11-50 | Exact match | 28 contacts → |
“AccountTECH helps real estate brokerages simplify accounting, automate commission management, improve profitability, and gain financial visibility through real estate accounting…” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 15 |  Lantrax, INClantrax.comHQ: Williamsville, NY, United StatesReported employees: 11-50 | Williamsville, NY, United States | 11-50 | Exact match | 22 contacts → |
“LanTrax is a diversified technology organization, committed to improving process, accessibility, and profitability for its clients.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 16 |  JCL Realty, INCjclrealty.comHQ: Sacramento, CA, United StatesReported employees: 11-50 | Sacramento, CA, United States | 11-50 | Exact match | 22 contacts → |
“100% Commission Brokerage,$495 per transaction fee and a $99 per transaction risk management fee.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 17 |  17a-4 LLC17a-4.comHQ: New York, NY, United StatesReported employees: 11-50 | New York, NY, United States | 11-50 | Exact match | 21 contacts → |
“17a-4 LLC is a leading provider of compliance software and consulting services.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 18 |  Fathom Holdings INCfathominc.comHQ: Cary, NC, United StatesReported employees: 201-500 | Cary, NC, United States | 201-500 | Exact match | 21 contacts → |
No recorded description excerpt is available for this public record. | |||||
| 19 |  Complianceease By Situsamccomplianceease.comHQ: Burlingame, CA, United StatesReported employees: 51-200 | Burlingame, CA, United States | 51-200 | Exact match | 19 contacts → |
“ComplianceEase, a SitusAMC company, is a leading provider of risk management solutions to the financial services industry.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 20 |  Simon Compliance LLCsimoncompliance.comHQ: Winnetka, IL, United StatesReported employees: 11-50 | Winnetka, IL, United States | 11-50 | Exact match | 17 contacts → |
“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…” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 21 |  Smartriasmartria.comHQ: Knoxville, TN, United StatesReported employees: 11-50 | Knoxville, TN, United States | 11-50 | Exact match | 17 contacts → |
“Smartria is a powerful, easy-to-use cloud-based software solution designed to meet the specialized needs of compliance consultants, investment advisors, and CCOs.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 22 |  Boldtrail Backoffice The Next GEN Of Brokermintbrokermint.comHQ: Carlsbad, CA, United StatesReported employees: 51-200 | Carlsbad, CA, United States | 51-200 | Exact match | 16 contacts → |
“Residential real estate brokerages are choosing Brokermint as they consolidate their back offices.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 23 |  Resource Compliance, INCresourcecompliance.comHQ: Kingsburg, CA, United StatesReported employees: 11-50 | Kingsburg, CA, United States | 11-50 | Exact match | 15 contacts → |
“Providing Solutions.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 24 |  Bcompliantbcompliant.comHQ: New York, NY, United StatesReported employees: 1-10 | New York, NY, United States | 1-10 | Exact match | 15 contacts → |
“BCompliant bridges the gap between real estate, compliance, and technology and provides a more effective and transparent process towards ensuring compliance.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 25 |  Trillium Surveyortrilliumsurveyor.comHQ: New York, NY, United StatesReported employees: 11-50 | New York, NY, United States | 11-50 | Exact match | 15 contacts → |
“Trillium Surveyor delivers powerful, intuitive trade surveillance and best execution analytics software.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
Showing 25 of 140 company matches
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Broker compliance software companies: dataset insights
September 27, 2026These summaries describe recorded coverage in this saved dataset. This page is derived from saved source records; per-contact mobile coverage and email-recency results are not established by this snapshot.
Reported company sizes
140 records in the displayed employee bands.
0 matching records are outside the displayed bands or do not have a displayed size. Bars show shares of the displayed bands.
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 company list was built
Describe a niche in your own words: companies installing commercial solar, or manufacturers of sustainable packaging. RevenueBase SmartSearch finds companies whose compiled business descriptions match by meaning. This list is one saved example to adapt.
Where the company descriptions come from
RevenueBase compiles company information from public sources, including company websites and public professional profiles such as LinkedIn, alongside information supplied by companies. The short recorded excerpt shown here is separate from the complete business description used for matching; individual source URLs and collection dates are not provided in this public snapshot.
RevenueBase SmartSearch matching settings
- Exact
- Closest fits to the business described.
- Similar
- Similar businesses with a wider range of fits.
- Related
- Related businesses in and around the category.
- Broad
- A broader set of businesses connected to the description.
RevenueBase SmartSearch · Exact match identifies inclusion in this search's closest semantic matching setting. It is not a per-company confidence score, a literal keyword match, or a quality endorsement.
Selection, ordering and scope
The public list shows selected company records with contact and verified-email coverage. Reported employee bands provide separate company-size context.
This page is derived from saved source records; per-contact mobile coverage and email-recency results are not established by this snapshot.
Recorded company descriptions support research; check company websites for current services. The selected preview is ordered by tracked contacts and is not a list of the best service providers.
Snapshot: September 27, 2026.
RevenueBase is a B2B data infrastructure company. Its September 3, 2026 published methodology describes a graph of 60 million companies and 398.9 million professional contacts; these platform figures differ from this page's totals. Published methodology ↗
Questions about this company list
What does Exact match mean for broker compliance software companies?
The separate RevenueBase SmartSearch column identifies inclusion at the closest semantic matching preset. It is not a literal keyword match, a per-company confidence score or a quality endorsement. Changing the search form opens a new search in RevenueBase; it does not reclassify these saved rows.
How many broker compliance software companies did RevenueBase find based in the United States?
The saved snapshot records 140 matching company records, 5,927 tracked contacts and 1,955 verified emails. The public preview displays 25 selected records.
Where do the company descriptions come from?
RevenueBase compiles company information from public sources, including company websites and public professional profiles such as LinkedIn, alongside information supplied by companies. The short recorded excerpt shown here is separate from the complete business description used for matching; individual source URLs and collection dates are not provided in this public snapshot.
How are the public companies ordered?
The selected public records are ordered by contacts tracked in RevenueBase, highest first. Contact coverage is a prospecting measure, not an assessment of the company's services or quality.
How can I get contact information?
Select a company's contact count to open its filtered contacts in RevenueBase. Free signup is required and includes 500 credits and limited free results. Verified emails, direct dials and mobile numbers depend on available coverage.
How current is this list?
Snapshot: September 27, 2026. Review each company's website for current services and locations. A recorded business description does not establish that every company offers every service named in the search.
What do headquarters and employee bands mean?
These are recorded company-level fields, rather than a map of every branch or a count of specialists. Missing headquarters or employee bands are labeled; older records may show a location separately from recorded headquarters.
Build your next target company list
Adapt this niche search and work with available contacts in RevenueBase.
Related lists
Cite this list
RevenueBase Data Team. Top 25 broker compliance software companies based in the United States. Snapshot: September 27, 2026. https://revenuebase.ai/companies/broker-compliance-software-companies/united-states.
This is a selected public preview of saved company records, rather than an independently verified census. Open the source page ↗
More company lists
- All company lists
- Lists by location
- Lists A-Z
- New lists
- AI companies based in the United States
- Cybersecurity companies based in the United States
- Manufacturing companies based in the United States
- Media companies based in the United States
- Oil and gas companies based in the United States
- Real estate companies based in the United States
Company intelligence · public preview
Top 25 broker compliance software companies based in the United States
RevenueBase records 140 matching company records for broker compliance software companies based in the United States, with 5,927 tracked contacts and 1,955 verified work emails.
This public preview shows 25 selected records ordered by tracked contacts. RevenueBase SmartSearch finds company descriptions that match by meaning at Exact. Snapshot: September 27, 2026.
RevenueBase compiles business descriptions for niche-company discovery; each row shows a recorded excerpt where available. Adapt this search to find the companies and contacts you want.
Top 25 broker compliance software companies based in the United States
The public list shows selected company records with contact and verified-email coverage. Reported employee bands provide separate company-size context.
| # | Company | Headquarters on record | Reported employees | RevenueBase SmartSearch | Tracked contacts |
|---|---|---|---|---|---|
| 1 | Donnelley Financial Solutions Dfindfinsolutions.com HQ: Lancaster, PA, United StatesReported employees: 1,001-5,000 | Lancaster, PA, United States | 1,001-5,000 | Exact match | 1,740 contacts → |
“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…” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 2 | Aithent INCaithent.com HQ: New York, NY, United StatesReported employees: 201-500 | New York, NY, United States | 201-500 | Exact match | 416 contacts → |
“Aithent creates high-value regulatory compliance management solutions for financial services, government, healthcare and insurance organizations around the globe.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 3 | Complycomply.com HQ: New York, NY, United StatesReported employees: 201-500 | New York, NY, United States | 201-500 | Exact match | 308 contacts → |
“At Comply, we pride ourselves on being the champion for compliance professionals.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 4 | MCO Mycomplianceofficemycomplianceoffice.com HQ: New York, NY, United StatesReported employees: 201-500 | New York, NY, United States | 201-500 | Exact match | 295 contacts → |
“MCO is a global leader on a mission to revolutionize how financial firms tackle compliance, making it simpler, smarter, and more effective.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 5 | Starcompliancestarcompliance.com HQ: Rockville, MD, United StatesReported employees: 201-500 | Rockville, MD, United States | 201-500 | Exact match | 266 contacts → |
“StarCompliance is a leading provider of employee compliance technology solutions.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 6 | RED OAKredoak.com HQ: Austin, TX, United StatesReported employees: 51-200 | Austin, TX, United States | 51-200 | Exact match | 108 contacts → |
“Red Oak’s Compliance Connectivity Platform unifies content creation, review, distribution, and supervision into a single, compliance-grade system built specifically for financial…” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 7 | Back At YOUbackatyou.com HQ: Los Angeles, CA, United StatesReported employees: 51-200 | Los Angeles, CA, United States | 51-200 | Exact match | 62 contacts → |
“Back At You provides a comprehensive all-in-one solution that streamlines brokerage workflows while delivering industry-leading marketing automation.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 8 | Quest CEquestce.com HQ: Milwaukee, WI, United StatesReported employees: 51-200 | Milwaukee, WI, United States | 51-200 | Exact match | 61 contacts → |
“Quest CE helps financial service organizations manage their compliance operations by offering firm training programs, disclosure tracking services and branch audit solutions.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 9 | Investedge, INCcompliance-edge.com HQ: Canonsburg, PA, United StatesReported employees: 11-50 | Canonsburg, PA, United States | 11-50 | Exact match | 52 contacts → |
“InvestEdge's ComplianceEdge is a revolutionary Trade Supervision & Account Monitoring platform that enables Broker Dealers, RIAs and Bank Trust companies to provide their…” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 10 | Orical LLCorical.org HQ: New York, NY, United StatesReported employees: 11-50 | New York, NY, United States | 11-50 | Exact match | 35 contacts → |
“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…” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 11 | Shield Complianceshieldbanking.com HQ: Seattle, WA, United StatesReported employees: 11-50 | Seattle, WA, United States | 11-50 | Exact match | 31 contacts → |
“In high-risk business banking, reputation is everything.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 12 | Agent Group Realtyagentgrouprealty.com HQ: Boca Raton, FL, United StatesReported employees: 51-200 | Boca Raton, FL, United States | 51-200 | Exact match | 30 contacts → |
No recorded description excerpt is available for this public record. | |||||
| 13 | Potomac River Partnerspotomacriverpartners.com HQ: Arlington, VA, United StatesReported employees: 11-50 | Arlington, VA, United States | 11-50 | Exact match | 28 contacts → |
“Potomac River Partners is a specialized management consulting firm offering a variety of services to meet our clients’ challenges.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 14 | Accounttechaccounttech.com HQ: Billerica, MA, United StatesReported employees: 11-50 | Billerica, MA, United States | 11-50 | Exact match | 28 contacts → |
“AccountTECH helps real estate brokerages simplify accounting, automate commission management, improve profitability, and gain financial visibility through real estate accounting…” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 15 | Lantrax, INClantrax.com HQ: Williamsville, NY, United StatesReported employees: 11-50 | Williamsville, NY, United States | 11-50 | Exact match | 22 contacts → |
“LanTrax is a diversified technology organization, committed to improving process, accessibility, and profitability for its clients.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 16 | JCL Realty, INCjclrealty.com HQ: Sacramento, CA, United StatesReported employees: 11-50 | Sacramento, CA, United States | 11-50 | Exact match | 22 contacts → |
“100% Commission Brokerage,$495 per transaction fee and a $99 per transaction risk management fee.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 17 | 17a-4 LLC17a-4.com HQ: New York, NY, United StatesReported employees: 11-50 | New York, NY, United States | 11-50 | Exact match | 21 contacts → |
“17a-4 LLC is a leading provider of compliance software and consulting services.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 18 | Fathom Holdings INCfathominc.com HQ: Cary, NC, United StatesReported employees: 201-500 | Cary, NC, United States | 201-500 | Exact match | 21 contacts → |
No recorded description excerpt is available for this public record. | |||||
| 19 | Complianceease By Situsamccomplianceease.com HQ: Burlingame, CA, United StatesReported employees: 51-200 | Burlingame, CA, United States | 51-200 | Exact match | 19 contacts → |
“ComplianceEase, a SitusAMC company, is a leading provider of risk management solutions to the financial services industry.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 20 | Simon Compliance LLCsimoncompliance.com HQ: Winnetka, IL, United StatesReported employees: 11-50 | Winnetka, IL, United States | 11-50 | Exact match | 17 contacts → |
“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…” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 21 | Smartriasmartria.com HQ: Knoxville, TN, United StatesReported employees: 11-50 | Knoxville, TN, United States | 11-50 | Exact match | 17 contacts → |
“Smartria is a powerful, easy-to-use cloud-based software solution designed to meet the specialized needs of compliance consultants, investment advisors, and CCOs.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 22 | Boldtrail Backoffice The Next GEN Of Brokermintbrokermint.com HQ: Carlsbad, CA, United StatesReported employees: 51-200 | Carlsbad, CA, United States | 51-200 | Exact match | 16 contacts → |
“Residential real estate brokerages are choosing Brokermint as they consolidate their back offices.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 23 | Resource Compliance, INCresourcecompliance.com HQ: Kingsburg, CA, United StatesReported employees: 11-50 | Kingsburg, CA, United States | 11-50 | Exact match | 15 contacts → |
“Providing Solutions.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 24 | Bcompliantbcompliant.com HQ: New York, NY, United StatesReported employees: 1-10 | New York, NY, United States | 1-10 | Exact match | 15 contacts → |
“BCompliant bridges the gap between real estate, compliance, and technology and provides a more effective and transparent process towards ensuring compliance.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 25 | Trillium Surveyortrilliumsurveyor.com HQ: New York, NY, United StatesReported employees: 11-50 | New York, NY, United States | 11-50 | Exact match | 15 contacts → |
“Trillium Surveyor delivers powerful, intuitive trade surveillance and best execution analytics software.” Recorded description excerpt · September 27, 2026Open company data in RevenueBase ↗Free signup required. | |||||
Showing 25 of 140 company matches
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Broker compliance software companies: dataset insights
September 27, 2026These summaries describe recorded coverage in this saved dataset. This page is derived from saved source records; per-contact mobile coverage and email-recency results are not established by this snapshot.
Reported company sizes
140 records in the displayed employee bands.
0 matching records are outside the displayed bands or do not have a displayed size. Bars show shares of the displayed bands.
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 company list was built
Describe a niche in your own words: companies installing commercial solar, or manufacturers of sustainable packaging. RevenueBase SmartSearch finds companies whose compiled business descriptions match by meaning. This list is one saved example to adapt.
Where the company descriptions come from
RevenueBase compiles company information from public sources, including company websites and public professional profiles such as LinkedIn, alongside information supplied by companies. The short recorded excerpt shown here is separate from the complete business description used for matching; individual source URLs and collection dates are not provided in this public snapshot.
RevenueBase SmartSearch matching settings
- Exact
- Closest fits to the business described.
- Similar
- Similar businesses with a wider range of fits.
- Related
- Related businesses in and around the category.
- Broad
- A broader set of businesses connected to the description.
RevenueBase SmartSearch · Exact match identifies inclusion in this search's closest semantic matching setting. It is not a per-company confidence score, a literal keyword match, or a quality endorsement.
Selection, ordering and scope
The public list shows selected company records with contact and verified-email coverage. Reported employee bands provide separate company-size context.
This page is derived from saved source records; per-contact mobile coverage and email-recency results are not established by this snapshot.
Recorded company descriptions support research; check company websites for current services. The selected preview is ordered by tracked contacts and is not a list of the best service providers.
Snapshot: September 27, 2026.
RevenueBase is a B2B data infrastructure company. Its September 3, 2026 published methodology describes a graph of 60 million companies and 398.9 million professional contacts; these platform figures differ from this page's totals. Published methodology ↗
Questions about this company list
What does Exact match mean for broker compliance software companies?
The separate RevenueBase SmartSearch column identifies inclusion at the closest semantic matching preset. It is not a literal keyword match, a per-company confidence score or a quality endorsement. Changing the search form opens a new search in RevenueBase; it does not reclassify these saved rows.
How many broker compliance software companies did RevenueBase find based in the United States?
The saved snapshot records 140 matching company records, 5,927 tracked contacts and 1,955 verified emails. The public preview displays 25 selected records.
Where do the company descriptions come from?
RevenueBase compiles company information from public sources, including company websites and public professional profiles such as LinkedIn, alongside information supplied by companies. The short recorded excerpt shown here is separate from the complete business description used for matching; individual source URLs and collection dates are not provided in this public snapshot.
How are the public companies ordered?
The selected public records are ordered by contacts tracked in RevenueBase, highest first. Contact coverage is a prospecting measure, not an assessment of the company's services or quality.
How can I get contact information?
Select a company's contact count to open its filtered contacts in RevenueBase. Free signup is required and includes 500 credits and limited free results. Verified emails, direct dials and mobile numbers depend on available coverage.
How current is this list?
Snapshot: September 27, 2026. Review each company's website for current services and locations. A recorded business description does not establish that every company offers every service named in the search.
What do headquarters and employee bands mean?
These are recorded company-level fields, rather than a map of every branch or a count of specialists. Missing headquarters or employee bands are labeled; older records may show a location separately from recorded headquarters.
Build your next target company list
Adapt this niche search and work with available contacts in RevenueBase.
Related lists
Cite this list
RevenueBase Data Team. Top 25 broker compliance software companies based in the United States. Snapshot: September 27, 2026. https://revenuebase.ai/companies/broker-compliance-software-companies/united-states.
This is a selected public preview of saved company records, rather than an independently verified census. Open the source page ↗
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