Be the compliant RIA your customer believes you are.

(Complect makes it really easy.)

Complect helps advisors build compliance into every aspect of their business. Doing the right thing shouldn’t be an afterthought.

Note your risks, create policies to mitigate them, and conduct internal reviews to ensure your processes are working — all in one place.

Work with a network of experts ready to assist you with pretty much anything (compliance related, of course).

Get it right — from the beginning.

Complect helps advisors build compliance into every aspect of their business. Doing the right thing shouldn’t be an afterthought.

Note your risks, create policies to mitigate risks, and conduct internal reviews that show you’re taking care of your risks — all in one place.

Note your risks, create policies to mitigate risks, and conduct internal reviews that show you’re taking care of your risks — all in one place.

Identify Risks

Note any risks you see. Right in the platform. Not in some random document you’ll forget about.

Develop Policies

Mitigate risks through constructive policies that you can create, edit, and share through Complect.

Assign Tasks

Bake those good behaviors into your business. Get the whole firm involved and assign employees specific tasks.

Conduct Reviews

Test the efficacy of your processes through documented internal reviews. Easy to follow audit trail for regulators.

Manage Documents

Send and store completed attestations, logs, and pre-approvals through one interactive portal.