Company lists · Data refreshed September 2026
Top 25 Compliance software companies for financial advisors based in New York, United States
RevenueBase identified 51 compliance software companies for financial advisors headquartered in New York, United States as of September 2026 and tracks 3,121 professional contacts across them, including 1,692 with verified work emails. Across the United States, New York is the largest hub for this category.
This list covers compliance software companies for financial advisors headquartered in New York, 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 compliance software companies for financial advisors based in New York, United States
Ranked by team size| # | Company | Contacts | |||
|---|---|---|---|---|---|
| 1 | 1,486 contacts → | ||||
Strong evidence “ACA Group is the leading governance, risk, and compliance advisor to the financial services industry.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 2 | 416 contacts → | ||||
Strong 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 | 328 contacts → | ||||
Strong evidence “Pontera is a fintech company on a mission to help millions of Americans retire better by enabling financial advisors to securely and compliantly manage their clients' 401(k)s…” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 4 | 295 contacts → | ||||
Strong 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 | 110 contacts → | ||||
Partial evidence “For over 40 years, DFP Partners has been a committed ally to Broker-Dealers, Registered Investment Advisers, and other financial services firms looking for accounting and…” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 6 | 60 contacts → | ||||
Indirect evidence “To meet rigorous regulatory expectations and requirements, it is imperative that organizations have access to “best in class” talent that has extensive knowledge of the businesses…” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 7 | 51 contacts → | ||||
Partial evidence “Hadrius is the AI-native compliance platform for RIAs, broker-dealers, and private funds.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 8 | 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. | |||||
| 9 | 26 contacts → | ||||
Partial evidence “Comply (formerly ComplySci) believes advanced compliance technology empowers compliance professionals to transform their business.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 10 | 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. | |||||
| 11 | 19 contacts → | ||||
Partial evidence “SHARPEST TOOLS IN THE SHED Whether you're building a new firm, reinforcing compliance resources, or repairing compliance deficiencies, Compliers' experienced CCOs and compliance…” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 12 | 17 contacts → | ||||
Partial evidence “MarketCounsel Consulting is the leading business and regulatory compliance consultancy to the country's preeminent independent investment advisers throughout all stages of their…” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 13 | 17 contacts → | ||||
Strong evidence “Fintechs, private funds, and wealth managers all use Greenboard to consolidate compliance software functionality onto a single modern platform that uses AI to detect risk and…” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 14 | 12 contacts → | ||||
Partial evidence “SEC Compliance Consultants, Inc.(SEC³) helps organizations bridge the SEC compliance knowledge gap.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 15 | 10 contacts → | ||||
Partial evidence “Affinity helps compliance teams run smarter, more scalable compliance programs.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 16 | 9 contacts → | ||||
Strong evidence “3iCO provides Investment Advisors, Funds, and Broker-Dealers with experienced, independent Chief Compliance Officers or one-on-one Compliance Consulting Services.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 17 | 7 contacts → | ||||
Partial evidence “Quadrant Regulatory Group provides services that support compliance with SEC, FINRA, MSRB, and state securities law.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 18 | 6 contacts → | ||||
Indirect evidence “At MCG, we believe that all securities markets are holistically connected in today’s world.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 19 | 6 contacts → | ||||
Partial evidence “Capital Market Solutions (CMS), headquartered in New York, USA, is the leading provider of cloud-based regulatory compliance and surveillance solutions built for Broker Dealers…” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 20 | 3 contacts → | ||||
Partial evidence “Global Compliance Group (GCG) is a boutique compliance consulting firm specializing in Regulatory Compliance, Cybersecurity, Anti-Money Laundering, Vendor Onboarding & M&A due…” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 21 | 3 contacts → | ||||
Strong evidence “Conformity360 empowers financial services firms of all types and sizes to navigate the rapidly evolving regulatory and compliance landscape.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 22 | 1 contacts → | ||||
Indirect evidence Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 23 | 1 contacts → | ||||
Strong evidence “Presults provides a modern archiving and compliance software that helps advisors stay compliant with client communications.” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 24 | 1 contacts → | ||||
Partial evidence “On the back of nearly 20 years of pragmatic operational experience, Market Access Advisors represents clients with a vested interest in traversing through the most opaque and…” Source: RevenueBase Database · checked Sep 27, 2026Thanks. The Data Team will review it. | |||||
| 25 | 1 contacts → | ||||
Indirect evidence “If you are both wise and lucky, you will not make the same mistake twice, but you may make any one of ten thousand relatives of the original.” 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: compliance software companies for financial advisors. 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 compliance software companies for financial advisors.
- Partial evidence
- Its own public description names part of compliance software companies for financial advisors, so it works in or next to the category without describing itself that way.
- Indirect evidence
- The description shown does not name compliance software companies for financial advisors. 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 51 compliance software companies for financial advisors based in New York, United States
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Compliance software companies for financial advisors based in New York, United States at a glance
As of Sep 27, 2026Companies by employee count
Email recency for this list is measured across the whole United States list rather than for New York, so it is reported there. Company counts and contact totals on this page are exact for New York, over 51 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 compliance software companies for financial advisors, 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 New York, United States whose own description of what they do matches “compliance software companies for financial advisors”. 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 compliance software companies for financial advisors), 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 compliance software companies for financial advisors, and records with no verified work email. Companies headquartered outside New York 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, 1,692 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 compliance software companies for financial advisors, 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 compliance software companies for financial advisors are there based in New York, United States?
RevenueBase identified 51 compliance software companies for financial advisors headquartered in New York, 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?
ACA Group, headquartered in New York, tops this list with the largest team on record.
Which city in the United States has the most compliance software companies for financial advisors?
New York leads the United States with 51 headquartered companies, followed by Austin (13) and Miami (10).
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 1,692 verified decision-maker contacts tracked across these 51 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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Download this list →Related lists
Compliance software companies for financial advisors by geography
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- Compliance software companies for financial advisors based in the United States
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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