Enterprise Compliance OS + named Fractional CCO / FINOP.
One vendor for compliance software, fund operations, marketing review, and a named human team — sized for firms that live inside a vendor-risk process, not a shopping cart.
Built to clear vendor risk
What your IT, legal, and CCO will ask — answered.
Enterprise buyers don't buy from websites. They buy from DDQs, references, and named humans. Here's how we clear each gate.
SOC 2 program in progress
Type I underway with a Big-4-affiliated auditor; Type II targeted for 2026. Full DDQ / SIG-Lite available under NDA.
Enterprise architecture
Single-tenant workspaces available. US-region hosting, encrypted at rest (AES-256) and in transit (TLS 1.2+). SSO/SAML on the enterprise tier.
Zero-data-retention AI
OpenAI, Google, and Anthropic API calls are ZDR — no training on your data. Full AI sub-processor list on the Trust Center.
Exam-ready audit trail
Every review, approval, attestation, and vendor DDQ is timestamped in RegReview and exportable in one click for SEC/FINRA DRLs.
Named team & escalation
Dedicated CCO/FINOP, named consultant, and 4-hour weekday response SLA. Backup coverage documented in your engagement letter.
$5M E&O + Cyber
Willing to be named as an additional insured for enterprise engagements. Certificate of insurance available on request.
Enterprise Bundle
One line item. Named team. Written SLA.
Includes the full Compliance OS suite plus a named consulting team — priced against firm size, headcount, and fund count, not usage meters that surprise you in Q4.
What's included
- RegReview enterprise workspace (unlimited internal seats)
- InvestPrep for private-fund clients (unlimited funds/investors)
- ADScanner marketing review (unlimited scans)
- Named Fractional CCO / FINOP (Series 24 / 27 as applicable)
- Rule 206(4)-7, 3120/3130, and 3310 annual reviews
- Quarterly on-site (or remote) exec compliance reviews
- Full DRL & exam-response support
- SOC 2, security questionnaire, and vendor DDQ turnaround under 5 business days
- Written engagement letter, SLA, and BAA/DPA available
Reference pricing for a $1B RIA or 20-rep BD starts around $12,995/month with a $20,000 setup. Final quote reflects scope and firm complexity.
Who this fits
Large RIAs
$1B–$50B AUM. Existing CCO who needs a bench, marketing review, PST scale, and exam readiness.
RIA solutionBroker-Dealers
25–200 reps. FINRA 3120/3130 annual reviews, 3310 AML, PST, communications review, and a named FINOP.
BD solutionPrivate Capital
PE/VC/Credit managers with $500M+ AUM or 3+ funds. Fund admin, LP DDQs, Form PF, and 206(4)-7.
Private capital solutionEnterprise FAQ
What size firms is this bundle designed for?
$1B+ AUM RIAs, mid-to-large broker-dealers (25+ reps), and private capital managers with $500M+ AUM or 3+ funds. Smaller firms should look at Bronze/Silver/Gold tiers on the pricing page.
Do you have SOC 2?
Type I is in progress with a Big-4-affiliated auditor. Type II is targeted for 2026. Under NDA we share the current bridge letter, security whitepaper, and full SIG-Lite / CAIQ responses.
Can you sign our DDQ, BAA, DPA, and MSA?
Yes. We regularly sign enterprise DDQs, DPAs, and BAAs, and we accept redlines on our MSA. Turnaround is typically under 5 business days.
What's the commitment?
12-month minimum with a 60-day termination-for-convenience notice. Annual prepay earns two months free.
Do we get a named CCO?
Yes. Enterprise engagements are staffed with a named Fractional CCO (RIA/private fund) or FINOP (broker-dealer), plus a backup contact. Series 24/27 as applicable.