Company lists · Data refreshed September 2026

Top 25 Investment compliance firms based in the United States

Name: Investment compliance firms based in the United States
Creator: RevenueBase
License: https://creativecommons.org/licenses/by/4.0/

Compiled by the RevenueBase Data Team Data refreshed Sep 20, 2026 586 companies tracked

RevenueBase identified 586 investment compliance firms headquartered in the United States as of September 2026 and tracks 8,284 professional contacts across them, including 3,999 with verified work emails. New York is the largest hub.

This list covers investment compliance firms 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 20, 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.

How to read this list HQ checked on every row RevenueBase Smart Search rating on every row Refreshed Sep 20, 2026 86% judged on-target in blind review

586Companies

8,284Contacts tracked

3,999Verified emails

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The 25 largest investment compliance firms based in the United States

Ranked by team size

Top 25 of 586 investment compliance firms based in the United States, ranked by team size, largest first. Data refreshed Sep 20, 2026. RevenueBase Smart Search rates how each company's information relates to investment compliance firms: strong evidence (its own description names it), partial (names part of it), indirect (matched on the rest of its profile rather than the description shown). Click a contact count to view that company's people.
#	Company	RevenueBase Smart Search	Headquarters	Employees	Contacts
1	Donnelley Financial Solutions Dfin	Strong evidence	Lancaster, PA, United StatesHQ checked Sep 20, 2026	1,001-5,000	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 20, 2026
2	ACA Group	Partial evidence	New York, NY, United StatesHQ checked Sep 20, 2026	1,001-5,000	1,486 contacts →
	Partial evidence “ACA Group is the leading governance, risk, and compliance advisor to the financial services industry.” Source: RevenueBase Database · checked Sep 20, 2026
3	Comply	Partial evidence	New York City, NY, United StatesHQ checked Sep 20, 2026	201-500	308 contacts →
	Partial evidence “At Comply, we pride ourselves on being the champion for compliance professionals.” Source: RevenueBase Database · checked Sep 20, 2026
4	MCO Mycomplianceoffice	Partial evidence	New York, NY, United StatesHQ checked Sep 20, 2026	201-500	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 20, 2026
5	Optima Partners	Strong evidence	NY, United StatesHQ checked Sep 20, 2026	51-200	145 contacts →
	Strong evidence “Established in 2014, Optima is a leading global regulatory compliance and cybersecurity consulting firm advising financial institutions, including investment managers, hedge…” Source: RevenueBase Database · checked Sep 20, 2026
6	Soho Square Solutions	Strong evidence	New York, NY, United StatesHQ checked Sep 20, 2026	201-500	142 contacts →
	Strong evidence “Experts on financial regulatory & compliance, business analysis, project Implementation and delivery for Corporate and Investment Banking, Asset management clients Firm…” Source: RevenueBase Database · checked Sep 20, 2026
7	Risk & Regulatory Consulting LLC	Indirect evidence	Farmington, CT, United StatesHQ checked Sep 20, 2026	51-200	122 contacts →
	Indirect evidence “Risk & Regulatory Consulting, LLC is a leading, national professional services firm dedicated to providing exceptional consulting services to insurance regulators.” Source: RevenueBase Database · checked Sep 20, 2026
8	DFP Partners	Partial evidence	New York, NY, United StatesHQ checked Sep 20, 2026	51-200	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 20, 2026
9	Accume Partners NOW Cherry Bekaert	Indirect evidence	Jersey City, NJ, United StatesHQ checked Sep 20, 2026	51-200	98 contacts →
	Indirect evidence “Accume Partners, now part of Cherry Bekaert, is a trusted risk assurance and advisory leader and innovator in delivering integrated solutions to our clients in highly regulated…” Source: RevenueBase Database · checked Sep 20, 2026
10	The RWC Group	Partial evidence	Fort Worth, TX, United StatesHQ checked Sep 20, 2026	51-200	82 contacts →
	Partial evidence “The RWC Group is a leading provider of top tier consulting, expert manpower and compliance services to the premier financial institutions, financial technology companies, and…” Source: RevenueBase Database · checked Sep 20, 2026
11	Fairview LLC	Strong evidence	Raleigh, NC, United StatesHQ checked Sep 20, 2026	51-200	81 contacts →
	Strong evidence “Providing full-service, backend regulatory support services to investment advisers and other financial institutions through five distinct practice areas- Compliance…” Source: RevenueBase Database · checked Sep 20, 2026
12	Oyster Consulting, LLC	Partial evidence	Glen Allen, VA, United StatesHQ checked Sep 20, 2026	51-200	73 contacts →
	Partial evidence “Oyster Consulting gives broker dealers, investment advisors and other financial services clients innovative tools to understand, automate, optimize and analyze crucial functions.” Source: RevenueBase Database · checked Sep 20, 2026
13	Quest CE	Partial evidence	Milwaukee, WI, United StatesHQ checked Sep 20, 2026	51-200	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 20, 2026
14	Compliance Risk Concepts CRC	Indirect evidence	New York, NY, United StatesHQ checked Sep 20, 2026	11-50	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 20, 2026
15	Kaiser Consulting Your Accounting And Compliance Partner	Indirect evidence	Powell, OH, United StatesHQ checked Sep 20, 2026	51-200	56 contacts →
	Indirect evidence “We are now Acclarity.” Source: RevenueBase Database · checked Sep 20, 2026
16	Young & Associates, INC	Indirect evidence	Kent, OH, United StatesHQ checked Sep 20, 2026	11-50	53 contacts →
	Indirect evidence “Financial industry expertise.” Source: RevenueBase Database · checked Sep 20, 2026
17	Mortgage Quality Management & Research Mqmr	Partial evidence	Sherman Oaks, CA, United StatesHQ checked Sep 20, 2026	51-200	53 contacts →
	Partial evidence “MQMR helps its clients climb higher by bridging the gap between risk and compliance through its suite of risk-related services.” Source: RevenueBase Database · checked Sep 20, 2026
18	Investedge, INC	Partial evidence	Canonsburg, PA, United StatesHQ checked Sep 20, 2026	11-50	52 contacts →
	Partial 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 20, 2026
19	Vigilant Compliance	Partial evidence	Chadds Ford, PA, United StatesHQ checked Sep 20, 2026	11-50	46 contacts →
	Partial evidence “Vigilant is an Award Winning and Industry Leading Compliance Firm that continues to remain Independent and Privately Owned.” Source: RevenueBase Database · checked Sep 20, 2026
20	Strategybrix	Partial evidence	San Francisco, CA, United StatesHQ checked Sep 20, 2026	11-50	43 contacts →
	Partial evidence “StrategyBRIX is a boutique Risk and Compliance management consulting business for fintechs, crypto businesses, and digital banks.” Source: RevenueBase Database · checked Sep 20, 2026
21	JNN Group, INC	Partial evidence	Pasadena, CA, United StatesHQ checked Sep 20, 2026	n/a	37 contacts →
	Partial evidence “Based in Pasadena, CA, JNN Group is a Data Governance, Risk Management, Compliance, and Analytics Consulting Firm.” Source: RevenueBase Database · checked Sep 20, 2026
22	Orical LLC	Partial evidence	New York, NY, United StatesHQ checked Sep 20, 2026	11-50	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 20, 2026
23	KEY Bridge Compliance	Strong evidence	Covington, KY, United StatesHQ checked Sep 20, 2026	11-50	33 contacts →
	Strong evidence “Key Bridge Compliance is a boutique consulting rm revolutionizing the regulatory landscape for SEC-registered investment advisers.” Source: RevenueBase Database · checked Sep 20, 2026
24	Iron Road Partners	Indirect evidence	New York, NY, United StatesHQ checked Sep 20, 2026	11-50	32 contacts →
	Indirect evidence “Our mission is to deliver unparalleled industry expertise and analytical precision to regulatory consulting.” Source: RevenueBase Database · checked Sep 20, 2026
25	Sentry Advisors NOW Arcsalus Advisors	Partial evidence	Nashville, TN, United StatesHQ checked Sep 20, 2026	11-50	31 contacts →
	Partial evidence “Provides regulatory risk advisory and education services to financial services companies, offers independent regulatory compliance testing services, conducts deep research and…” Source: RevenueBase Database · checked Sep 20, 2026

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: investment compliance firms. 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 investment compliance firms.
Partial evidence: Its own public description names part of investment compliance firms, so it works in or next to the category without describing itself that way.
Indirect evidence: The description shown does not name investment compliance firms. 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 586 investment compliance firms based in the United States

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Investment compliance firms based in the United States at a glance

As of Sep 20, 2026

48.3%Verified-email coverage

14.1Average contacts per company

1-10Median size (employees)

11.6%Largest-city concentration · New York

Sep 20, 2026Page data refreshed

Companies by employee count

1-10

405

11-50

140

51-200

201-500

501-1,000

1,001-5,000

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 586 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 investment compliance firms, 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 “investment compliance firms”. 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 investment compliance firms), 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 investment compliance firms, 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, 3,999 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 20, 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.

Investment compliance firms by metro

Investment compliance firms in New York68

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 investment compliance firms, 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 investment compliance firms are there based in the United States?

RevenueBase identified 586 investment compliance firms 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 investment compliance firms?

New York leads with 68 headquartered companies, followed by Miami (14) and Dallas (12).

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 3,999 verified decision-maker contacts tracked across these 586 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 20, 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.