Leadership
Meet the Partners
313+ years of combined experience in regulatory, operational, and technology leadership — backed by a full bench of senior consultants and strategic advisors.
Compliers pairs experienced CCOs with technology that plugs into whatever stack your firm already runs — so you meet regulatory requirements without ripping out what already works.
Whether you're building a new firm, reinforcing existing resources, or repairing deficiencies — one team, one platform.
End-to-end support taking your firm through FINRA and SEC registration, from initial filing to approval.
Experienced CCOs and compliance professionals embedded with your team, on demand.
Independent testing and annual reviews that keep your AML program, supervisory controls, and branch network audit-ready year-round.
Streamlined ethics oversight that connects into the email, marketing, and trading systems you already run — no rip and replace.
Not sure where to start? Pick what fits — every path leads to a real conversation, not a form queue.
At Compliers, we revolutionize compliance by merging cutting-edge technology with unparalleled industry expertise. Our mission is to empower financial institutions with solutions that simplify compliance processes, so they can stay ahead of regulatory requirements and focus on what they do best. Our partners bring their own mix of internal, external, and hybrid tech stacks — our technology is built to integrate modularly alongside what a firm already runs, not rip and replace it.
Founded with a vision to create a seamless compliance experience, Compliers brings together industry veterans and tech innovators, blending regulatory precision with adaptability tailored to each client's needs.
313+ years of combined experience in regulatory, operational, and technology leadership — backed by a full bench of senior consultants and strategic advisors.
"The Compliers team have been a great partner to us throughout the process of registering, operating and managing our broker-dealer. What sets them apart from others is that they truly care about their clients and provide them with outstanding service. They are an extension of our team and are willing to go above and beyond to ensure we remain compliant and our customers are serviced with the utmost professionalism."
"Compliers helped us a lot along the way with the compliance, and they are a team who can get a broker-dealer and do any kind of investment compliance support."
Real FINRA notices and SEC rule changes, broken down into what actually changes for your firm.
Compliance deadlines have passed — here's what examiners are actually looking for in an incident response program.
Read More →FINRA's enhanced New Member Application is now the only option for new membership filings.
Read More →The first increase since 1992 codifies years of guidance directly into rule text.
Read More →FINRA has fully retired the day trading margin requirements in favor of a new intraday margin standard.
Read More →CABs can now represent both sides of a deal and accept equity as compensation, among other changes.
Read More →Foreign secrecy laws are not a valid excuse for failing to comply with a FINRA information request.
Read More →Proposed changes would extend temporary holds and create a new fraud delay tool for investors of any age.
Read More →The 2026 Renewal Program introduced a tiered Annual System Processing fee. Here's how to budget for it.
Read More →Firms no longer need FINRA staff pre-clearance before sending negative consent letters for bulk transfers.
Read More →Firms that are both a broker-dealer and an investment adviser can now report allocations in a single report.
Read More →Recent broker-dealer registration and regulatory milestones we've helped clients reach.
Private Ledger LLC, a Compliers subsidiary, and Shawn Matthews' Hondo Holdings LLC completed their acquisition of Zenith Securities LLC, a FINRA-member broker-dealer.
Read on PR Newswire → Press Release · Jun 30, 2026Wolfpack Financial's brokerage subsidiary, WPBS, received FINRA and SEC membership approval, expanding the regulated financial infrastructure behind its lending platform.
Read on PR Newswire →Technology and service partners our clients already rely on — and that our team plugs directly into.
Book a walkthrough of how our technology fits alongside the tools you already use, or talk through your firm's compliance gaps with a real CCO.
