Company lists · Data refreshed November 2026
Top 25 Securities compliance advisors based in the United States
RevenueBase identified 736 company matches for securities compliance advisors associated with the United States as of November 2026 and tracks 5,301 professional contacts across them, including 1,905 with verified work emails. New York is the largest hub.
This list covers company matches for securities compliance advisors 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 November 6, 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 securities compliance advisors based in the United States
Ranked by team size| # | Company | Contacts | |||
|---|---|---|---|---|---|
| 1 | 270 contacts → | ||||
Exact match “Comply Regulatory Services (formerly NRS) is an advanced solution and service offering for investment advisers, broker-dealers, hedge funds, investment companies, and insurance…” Recorded in the RevenueBase company graph · Nov 6, 2026 · View company records in RevenueBase | |||||
| 2 | 157 contacts → | ||||
Exact match “Established in 2014, Optima is a leading global regulatory compliance and cybersecurity consulting firm advising financial institutions, including investment managers, hedge…” Recorded in the RevenueBase company graph · Nov 6, 2026 · View company records in RevenueBase | |||||
| 3 | 137 contacts → | ||||
Exact match “Risk & Regulatory Consulting, LLC is a leading, national professional services firm dedicated to providing exceptional consulting services to insurance regulators.” Recorded in the RevenueBase company graph · Nov 6, 2026 · View company records in RevenueBase | |||||
| 4 | 128 contacts → | ||||
Exact match “Imagine working with a network of financial professionals who understand you and have years of experience in helping you achieve good financial outcomes.” Recorded in the RevenueBase company graph · Nov 6, 2026 · View company records in RevenueBase | |||||
| 5 | 113 contacts → | ||||
Exact match “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…” Recorded in the RevenueBase company graph · Nov 6, 2026 · View company records in RevenueBase | |||||
| 6 | 80 contacts → | ||||
Exact match “Established in 1997, Hudson Cook, LLP focuses on state and federal consumer and commercial financial services, banking and privacy compliance, regulation, enforcement and…” Recorded in the RevenueBase company graph · Nov 6, 2026 · View company records in RevenueBase | |||||
| 7 | 80 contacts → | ||||
Exact match “Hadrius is the agentic compliance infrastructure for SEC- and FINRA-regulated firms.” Recorded in the RevenueBase company graph · Nov 6, 2026 · View company records in RevenueBase | |||||
| 8 | 67 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 · Nov 6, 2026 · View company records in RevenueBase | |||||
| 9 | 66 contacts → | ||||
Exact match “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…” Recorded in the RevenueBase company graph · Nov 6, 2026 · View company records in RevenueBase | |||||
| 10 | 64 contacts → | ||||
Exact match “PCS is a full-service, RIA-friendly Broker Dealer and SEC Registered Investment Advisor.” Recorded in the RevenueBase company graph · Nov 6, 2026 · View company records in RevenueBase | |||||
| 11 | 59 contacts → | ||||
Exact match “Financial industry expertise.” Recorded in the RevenueBase company graph · Nov 6, 2026 · View company records in RevenueBase | |||||
| 12 | 52 contacts → | ||||
Exact match “Vigilant is an Award Winning and Industry Leading Compliance Firm that continues to remain Independent and Privately Owned.” Recorded in the RevenueBase company graph · Nov 6, 2026 · View company records in RevenueBase | |||||
| 13 | 51 contacts → | ||||
Exact match “SHARPEST TOOLS IN THE SHED Whether you're building a new firm, reinforcing compliance resources, or repairing compliance deficiencies, Compliers' experienced CCOs and compliance…” Recorded in the RevenueBase company graph · Nov 6, 2026 · View company records in RevenueBase | |||||
| 14 | 47 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 · Nov 6, 2026 · View company records in RevenueBase | |||||
| 15 | 42 contacts → | ||||
Exact match “KWMG, LLC’s dba Keen Wealth Advisors (“company”) is an SEC registered investment advisor located in Overland Park, KS.” Recorded in the RevenueBase company graph · Nov 6, 2026 · View company records in RevenueBase | |||||
| 16 | 42 contacts → | ||||
Exact match “Alterna Securities is registered with the Securities Exchange Commission (SEC) and is a member of the Financial Industry Regulatory Authority (FINRA).” Recorded in the RevenueBase company graph · Nov 6, 2026 · View company records in RevenueBase | |||||
| 17 | 40 contacts → | ||||
Exact match Recorded description not available. Recorded in the RevenueBase company graph · Nov 6, 2026 · View company records in RevenueBase | |||||
| 18 | 38 contacts → | ||||
Exact match “Investment Advisory Services offered through Alphastar Capital Management, LLC, an SEC Registered Investment Adviser.” Recorded in the RevenueBase company graph · Nov 6, 2026 · View company records in RevenueBase | |||||
| 19 | 35 contacts → | ||||
Exact match “RegEdge is a consulting firm that combines deep domain, regulatory and consulting expertise to solve complex business and regulatory challenges.” Recorded in the RevenueBase company graph · Nov 6, 2026 · View company records in RevenueBase | |||||
| 20 | 35 contacts → | ||||
Exact match “Red Rock Securities Law Inc.("RRSL") is an Arizona ABS structured law firm that has a focus on SEC securities offering preparation.” Recorded in the RevenueBase company graph · Nov 6, 2026 · View company records in RevenueBase | |||||
| 21 | 34 contacts → | ||||
Exact match “Our mission is to deliver unparalleled industry expertise and analytical precision to regulatory consulting.” Recorded in the RevenueBase company graph · Nov 6, 2026 · View company records in RevenueBase | |||||
| 22 | 33 contacts → | ||||
Exact match “Located in Statesboro, Georgia, Steve H.” Recorded in the RevenueBase company graph · Nov 6, 2026 · View company records in RevenueBase | |||||
| 23 | 33 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 · Nov 6, 2026 · View company records in RevenueBase | |||||
| 24 | 32 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 · Nov 6, 2026 · View company records in RevenueBase | |||||
| 25 | 29 contacts → | ||||
Exact match “Established in 1976 as a full-service brokerage firm, Triad Securities strives to provide our clients with the most comprehensive data on the new issue market.” Recorded in the RevenueBase company graph · Nov 6, 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 “securities compliance advisors”. 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 736 securities compliance advisors based in the United States
See the full list, filter by size, metro and specialty, and access 1,905 tracked professional contacts with verified work emails. Direct dials are available where recorded.
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Securities compliance advisors based in the United States at a glance
As of Nov 6, 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 736 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 “securities compliance advisors” 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 1,905 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 November 6, 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.
Securities compliance advisors by metro
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 “securities compliance advisors”; each Exact match badge shows search membership, not an individual similarity or quality score.
How many securities compliance advisors are there based in the United States?
RevenueBase identified 736 company matches for securities compliance advisors associated with the United States as of November 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?
Comply Regulatory Services tops the displayed preview by professional contacts tracked in RevenueBase. Recorded headquarters appear in the company rows.
Which city has the most securities compliance advisors?
New York leads with 66 company records, followed by Chicago (17) and Atlanta (14).
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 1,905 professional contacts with verified work emails tracked across these 736 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 November 6, 2026.
Ready to reach these companies? Verified emails and direct dials for all 736 securities compliance advisors based in the United States. Start with a free account, no credit card.
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Securities compliance advisors by geography
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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- Securities compliance advisors based in London, United Kingdom
- Securities compliance advisors based in New York, United States
- Securities compliance advisors based in Australia
- Securities compliance advisors based in India
- Securities compliance advisors based in the United Kingdom
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Company intelligence · public preview
Top 25 securities compliance advisors 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 736 matching company records for securities compliance advisors based in the United States, with 5,301 tracked contacts and 1,905 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: November 6, 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 securities compliance advisors 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 |  Comply Regulatory Servicescomply.comHQ: Lakeville, CT, United StatesReported employees: 201-500 | Lakeville, CT, United States | 201-500 | Exact match | 270 contacts → |
“Comply Regulatory Services (formerly NRS) is an advanced solution and service offering for investment advisers, broker-dealers, hedge funds, investment companies, and insurance…” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 2 |  Optima Partnersoptima-partners.comHQ: NY, United StatesReported employees: 51-200 | NY, United States | 51-200 | Exact match | 157 contacts → |
“Established in 2014, Optima is a leading global regulatory compliance and cybersecurity consulting firm advising financial institutions, including investment managers, hedge…” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 3 |  Risk & Regulatory Consulting LLCriskreg.comHQ: Farmington, CT, United StatesReported employees: 51-200 | Farmington, CT, United States | 51-200 | Exact match | 137 contacts → |
“Risk & Regulatory Consulting, LLC is a leading, national professional services firm dedicated to providing exceptional consulting services to insurance regulators.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 4 |  Northeast Financial Networknortheastfn.comHQ: Holmdel, CT, United StatesReported employees: 11-50 | Holmdel, CT, United States | 11-50 | Exact match | 128 contacts → |
“Imagine working with a network of financial professionals who understand you and have years of experience in helping you achieve good financial outcomes.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 5 |  DFP Partnersdfppartners.comHQ: New York, MA, United StatesReported employees: 51-200 | New York, MA, United States | 51-200 | Exact match | 113 contacts → |
“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…” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 6 |  Hudson Cook, LLPhudco.comHQ: Hanover, MD, United StatesReported employees: 51-200 | Hanover, MD, United States | 51-200 | Exact match | 80 contacts → |
“Established in 1997, Hudson Cook, LLP focuses on state and federal consumer and commercial financial services, banking and privacy compliance, regulation, enforcement and…” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 7 |  Hadriushadrius.comHQ: New York, NY, United StatesReported employees: 51-200 | New York, NY, United States | 51-200 | Exact match | 80 contacts → |
“Hadrius is the agentic compliance infrastructure for SEC- and FINRA-regulated firms.” Recorded description excerpt · November 6, 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 | 67 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 · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 9 |  Compliance Risk Concepts CRCcompliance-risk.comHQ: New York, NY, United StatesReported employees: 11-50 | New York, NY, United States | 11-50 | Exact match | 66 contacts → |
“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…” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 10 | HQ: Louisville, KY, United StatesReported employees: 51-200 | Louisville, KY, United States | 51-200 | Exact match | 64 contacts → |
“PCS is a full-service, RIA-friendly Broker Dealer and SEC Registered Investment Advisor.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 11 |  Young & Associates, INCyounginc.comHQ: Kent, OH, United StatesReported employees: 11-50 | Kent, OH, United States | 11-50 | Exact match | 59 contacts → |
“Financial industry expertise.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 12 |  Vigilant Compliancevigilantllc.comHQ: Chadds Ford, PA, United StatesReported employees: 51-200 | Chadds Ford, PA, United States | 51-200 | Exact match | 52 contacts → |
“Vigilant is an Award Winning and Industry Leading Compliance Firm that continues to remain Independent and Privately Owned.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 13 |  Compliers Consulting Services, LLCcompliers.comHQ: New York, NY, United StatesReported employees: 11-50 | New York, NY, United States | 11-50 | Exact match | 51 contacts → |
“SHARPEST TOOLS IN THE SHED Whether you're building a new firm, reinforcing compliance resources, or repairing compliance deficiencies, Compliers' experienced CCOs and compliance…” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 14 |  Investedge, INCcompliance-edge.comHQ: Canonsburg, PA, United StatesReported employees: 11-50 | Canonsburg, PA, United States | 11-50 | Exact match | 47 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 · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 15 |  Keen Wealth Advisorskeenwealthadvisors.comHQ: Overland Park, KS, United StatesReported employees: 11-50 | Overland Park, KS, United States | 11-50 | Exact match | 42 contacts → |
“KWMG, LLC’s dba Keen Wealth Advisors (“company”) is an SEC registered investment advisor located in Overland Park, KS.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 16 |  Alterna Securities INCalternasecurities.comHQ: Houston, TX, United StatesReported employees: 11-50 | Houston, TX, United States | 11-50 | Exact match | 42 contacts → |
“Alterna Securities is registered with the Securities Exchange Commission (SEC) and is a member of the Financial Industry Regulatory Authority (FINRA).” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 17 |  YTS Wealth Managementytswealth.comHQ: Export, VA, United StatesReported employees: 11-50 | Export, VA, United States | 11-50 | Exact match | 40 contacts → |
No recorded description excerpt is available for this public record. | |||||
| 18 |  Alphastar Capital Managementalphastarcm.comHQ: Cornelius, NC, United StatesReported employees: 51-200 | Cornelius, NC, United States | 51-200 | Exact match | 38 contacts → |
“Investment Advisory Services offered through Alphastar Capital Management, LLC, an SEC Registered Investment Adviser.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 19 |  Regedgeregedge.comHQ: New York, United StatesReported employees: 11-50 | New York, United States | 11-50 | Exact match | 35 contacts → |
“RegEdge is a consulting firm that combines deep domain, regulatory and consulting expertise to solve complex business and regulatory challenges.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 20 |  RED Rock Securities LAW INCredrocksecuritieslaw.comHQ: Lakewood, CO, United StatesReported employees: Not recorded | Lakewood, CO, United States | Not recorded | Exact match | 35 contacts → |
“Red Rock Securities Law Inc.("RRSL") is an Arizona ABS structured law firm that has a focus on SEC securities offering preparation.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 21 |  Iron Road Partnersironroadpartners.comHQ: New York, NY, United StatesReported employees: 11-50 | New York, NY, United States | 11-50 | Exact match | 34 contacts → |
“Our mission is to deliver unparalleled industry expertise and analytical precision to regulatory consulting.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 22 |  Steve H. Powell & Companyshpco.netHQ: Statesboro, GA, United StatesReported employees: 11-50 | Statesboro, GA, United States | 11-50 | Exact match | 33 contacts → |
“Located in Statesboro, Georgia, Steve H.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 23 |  Orical LLCorical.orgHQ: New York, NY, United StatesReported employees: 11-50 | New York, NY, United States | 11-50 | Exact match | 33 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 · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 24 |  Potomac River Partnerspotomacriverpartners.comHQ: Arlington, VA, United StatesReported employees: 11-50 | Arlington, VA, United States | 11-50 | Exact match | 32 contacts → |
“Potomac River Partners is a specialized management consulting firm offering a variety of services to meet our clients’ challenges.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 25 |  Triad Securities Corptriadsecurities.comHQ: New York, United StatesReported employees: 11-50 | New York, United States | 11-50 | Exact match | 29 contacts → |
“Established in 1976 as a full-service brokerage firm, Triad Securities strives to provide our clients with the most comprehensive data on the new issue market.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
Showing 25 of 736 company matches
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Securities compliance advisors: dataset insights
November 6, 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
736 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 736 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: November 6, 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 ↗
Securities compliance advisors by metro
Questions about this company list
What does Exact match mean for securities compliance advisors?
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 securities compliance advisors did RevenueBase find based in the United States?
The saved snapshot records 736 matching company records, 5,301 tracked contacts and 1,905 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: November 6, 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
Securities compliance advisors by geography
Cite this list
RevenueBase Data Team. Top 25 securities compliance advisors based in the United States. Snapshot: November 6, 2026. https://revenuebase.ai/companies/securities-compliance-advisors/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
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- Lists A-Z
- New lists
- Securities compliance advisors based in London, United Kingdom
- Securities compliance advisors based in New York, United States
- Securities compliance advisors based in Australia
- Securities compliance advisors based in India
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- AI companies based in the United States
Company intelligence · public preview
Top 25 securities compliance advisors based in the United States
RevenueBase records 736 matching company records for securities compliance advisors based in the United States, with 5,301 tracked contacts and 1,905 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: November 6, 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 securities compliance advisors 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 | Comply Regulatory Servicescomply.com HQ: Lakeville, CT, United StatesReported employees: 201-500 | Lakeville, CT, United States | 201-500 | Exact match | 270 contacts → |
“Comply Regulatory Services (formerly NRS) is an advanced solution and service offering for investment advisers, broker-dealers, hedge funds, investment companies, and insurance…” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 2 | Optima Partnersoptima-partners.com HQ: NY, United StatesReported employees: 51-200 | NY, United States | 51-200 | Exact match | 157 contacts → |
“Established in 2014, Optima is a leading global regulatory compliance and cybersecurity consulting firm advising financial institutions, including investment managers, hedge…” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 3 | Risk & Regulatory Consulting LLCriskreg.com HQ: Farmington, CT, United StatesReported employees: 51-200 | Farmington, CT, United States | 51-200 | Exact match | 137 contacts → |
“Risk & Regulatory Consulting, LLC is a leading, national professional services firm dedicated to providing exceptional consulting services to insurance regulators.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 4 | Northeast Financial Networknortheastfn.com HQ: Holmdel, CT, United StatesReported employees: 11-50 | Holmdel, CT, United States | 11-50 | Exact match | 128 contacts → |
“Imagine working with a network of financial professionals who understand you and have years of experience in helping you achieve good financial outcomes.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 5 | DFP Partnersdfppartners.com HQ: New York, MA, United StatesReported employees: 51-200 | New York, MA, United States | 51-200 | Exact match | 113 contacts → |
“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…” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 6 | Hudson Cook, LLPhudco.com HQ: Hanover, MD, United StatesReported employees: 51-200 | Hanover, MD, United States | 51-200 | Exact match | 80 contacts → |
“Established in 1997, Hudson Cook, LLP focuses on state and federal consumer and commercial financial services, banking and privacy compliance, regulation, enforcement and…” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 7 | Hadriushadrius.com HQ: New York, NY, United StatesReported employees: 51-200 | New York, NY, United States | 51-200 | Exact match | 80 contacts → |
“Hadrius is the agentic compliance infrastructure for SEC- and FINRA-regulated firms.” Recorded description excerpt · November 6, 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 | 67 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 · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 9 | Compliance Risk Concepts CRCcompliance-risk.com HQ: New York, NY, United StatesReported employees: 11-50 | New York, NY, United States | 11-50 | Exact match | 66 contacts → |
“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…” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 10 | HQ: Louisville, KY, United StatesReported employees: 51-200 | Louisville, KY, United States | 51-200 | Exact match | 64 contacts → |
“PCS is a full-service, RIA-friendly Broker Dealer and SEC Registered Investment Advisor.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 11 | Young & Associates, INCyounginc.com HQ: Kent, OH, United StatesReported employees: 11-50 | Kent, OH, United States | 11-50 | Exact match | 59 contacts → |
“Financial industry expertise.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 12 | Vigilant Compliancevigilantllc.com HQ: Chadds Ford, PA, United StatesReported employees: 51-200 | Chadds Ford, PA, United States | 51-200 | Exact match | 52 contacts → |
“Vigilant is an Award Winning and Industry Leading Compliance Firm that continues to remain Independent and Privately Owned.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 13 | Compliers Consulting Services, LLCcompliers.com HQ: New York, NY, United StatesReported employees: 11-50 | New York, NY, United States | 11-50 | Exact match | 51 contacts → |
“SHARPEST TOOLS IN THE SHED Whether you're building a new firm, reinforcing compliance resources, or repairing compliance deficiencies, Compliers' experienced CCOs and compliance…” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 14 | Investedge, INCcompliance-edge.com HQ: Canonsburg, PA, United StatesReported employees: 11-50 | Canonsburg, PA, United States | 11-50 | Exact match | 47 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 · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 15 | Keen Wealth Advisorskeenwealthadvisors.com HQ: Overland Park, KS, United StatesReported employees: 11-50 | Overland Park, KS, United States | 11-50 | Exact match | 42 contacts → |
“KWMG, LLC’s dba Keen Wealth Advisors (“company”) is an SEC registered investment advisor located in Overland Park, KS.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 16 | Alterna Securities INCalternasecurities.com HQ: Houston, TX, United StatesReported employees: 11-50 | Houston, TX, United States | 11-50 | Exact match | 42 contacts → |
“Alterna Securities is registered with the Securities Exchange Commission (SEC) and is a member of the Financial Industry Regulatory Authority (FINRA).” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 17 | YTS Wealth Managementytswealth.com HQ: Export, VA, United StatesReported employees: 11-50 | Export, VA, United States | 11-50 | Exact match | 40 contacts → |
No recorded description excerpt is available for this public record. | |||||
| 18 | Alphastar Capital Managementalphastarcm.com HQ: Cornelius, NC, United StatesReported employees: 51-200 | Cornelius, NC, United States | 51-200 | Exact match | 38 contacts → |
“Investment Advisory Services offered through Alphastar Capital Management, LLC, an SEC Registered Investment Adviser.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 19 | Regedgeregedge.com HQ: New York, United StatesReported employees: 11-50 | New York, United States | 11-50 | Exact match | 35 contacts → |
“RegEdge is a consulting firm that combines deep domain, regulatory and consulting expertise to solve complex business and regulatory challenges.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 20 | RED Rock Securities LAW INCredrocksecuritieslaw.com HQ: Lakewood, CO, United StatesReported employees: Not recorded | Lakewood, CO, United States | Not recorded | Exact match | 35 contacts → |
“Red Rock Securities Law Inc.("RRSL") is an Arizona ABS structured law firm that has a focus on SEC securities offering preparation.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 21 | Iron Road Partnersironroadpartners.com HQ: New York, NY, United StatesReported employees: 11-50 | New York, NY, United States | 11-50 | Exact match | 34 contacts → |
“Our mission is to deliver unparalleled industry expertise and analytical precision to regulatory consulting.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 22 | Steve H. Powell & Companyshpco.net HQ: Statesboro, GA, United StatesReported employees: 11-50 | Statesboro, GA, United States | 11-50 | Exact match | 33 contacts → |
“Located in Statesboro, Georgia, Steve H.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 23 | Orical LLCorical.org HQ: New York, NY, United StatesReported employees: 11-50 | New York, NY, United States | 11-50 | Exact match | 33 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 · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 24 | Potomac River Partnerspotomacriverpartners.com HQ: Arlington, VA, United StatesReported employees: 11-50 | Arlington, VA, United States | 11-50 | Exact match | 32 contacts → |
“Potomac River Partners is a specialized management consulting firm offering a variety of services to meet our clients’ challenges.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
| 25 | Triad Securities Corptriadsecurities.com HQ: New York, United StatesReported employees: 11-50 | New York, United States | 11-50 | Exact match | 29 contacts → |
“Established in 1976 as a full-service brokerage firm, Triad Securities strives to provide our clients with the most comprehensive data on the new issue market.” Recorded description excerpt · November 6, 2026Open company data in RevenueBase ↗Free signup required. | |||||
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Securities compliance advisors: dataset insights
November 6, 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
736 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 736 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: November 6, 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 ↗
Securities compliance advisors by metro
Questions about this company list
What does Exact match mean for securities compliance advisors?
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 securities compliance advisors did RevenueBase find based in the United States?
The saved snapshot records 736 matching company records, 5,301 tracked contacts and 1,905 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: November 6, 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
Securities compliance advisors by geography
Cite this list
RevenueBase Data Team. Top 25 securities compliance advisors based in the United States. Snapshot: November 6, 2026. https://revenuebase.ai/companies/securities-compliance-advisors/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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