2026 Investment Adviser Compliance Conference

ACA Group is a leading provider of governance, risk, and compliance (GRC) advisory services and technology solutions – as a strategic partner in serving and advancing the investment adviser industry.

Broadridge Financial Solutions (NYSE: BR), is a global technology leader with the trusted expertise and transformative technology to help clients and the financial services industry operate, innovate, and grow. We power investing, governance, and communications for our clients – driving operational resiliency, elevating business performance, and transforming investor experiences. Our technology and operations platforms underpin the daily trading of more than $10 trillion of equities, fixed income and other securities globally. A certified Great Place to Work®, Broadridge is part of the S&P 500® Index, employing over 14,000 associates in 21 countries.

Charles Schwab is the industry’s leading custodian for independent registered investment advisers, offering a robust suite of technology platforms, practice management tools, and operational support to help firms thrive and scale. One area of support is our Schwab® Designated Brokerage Services, focusing on employee trade monitoring that allows for access to our powerful technology and strong support. Take steps toward a more efficient and effective risk management program.

As a global market leader in regulatory compliance solutions, COMPLY combines the power of regulatory technology, services, and education to empower Chief Compliance Officers and compliance professionals to easily navigate the regulatory landscape. COMPLY enables firms to scale their growth while remaining vigilant in their compliance efforts by providing solutions designed to manage the burden of compliance tasks. Our deep bench of industry expertise supports more than 7,000 clients, including private funds, registered investment advisers, and other financial service participants.

For over 40 years, DFP Partners has been a committed partner in financial accounting and compliance to Broker-Dealers and Registered Investment Advisers. We provide a range of services covering everything from outsourced FinOp and CCO roles to AML testing and cybersecurity compliance consulting.

Egnyte is the secure multi-cloud platform for content security and governance that enables organizations to better protect and collaborate on their most valuable content. Established in 2008, Egnyte has democratized cloud content security for more than 22,000+ organizations, helping customers improve data security, maintain compliance, prevent and detect ransomware threats, and boost employee productivity on any app, any cloud, anywhere.

Greenboard is an AI-native operating system for SEC & FINRA compliance that can replace virtually all legacy systems from archiving, to marketing reviews, to employee compliance. Greenboard saves time for compliance teams via automation and dramatically reduces risk via AI-enabled risk detection. Greenboard is the fastest growing technology firm in its space and now serves 350+ financial firms and has raised $20M+ from top venture funds like General Catalyst and Y Combinator.

Hadrius is the trusted AI-powered compliance solution built for financial services firms that demand efficiency, accuracy, and regulatory confidence. Designed to eliminate inefficiencies and reduce risk, Hadrius empowers compliance teams with cutting-edge automation, keeping them ahead of evolving SEC and FINRA regulations. Trusted to oversee $1.2 trillion+ AUM, our platform seamlessly integrates into your existing workflows, automating tedious compliance tasks and reducing manual workloads by 70% or more. With Hadrius, compliance teams can focus on strategy and oversight—not spreadsheets and endless reviews.

At Helios, we unlock the power of human creativity and intellect by transforming governance, risk, and compliance (GRC) from a constraint into a catalyst that empowers investment managers to redefine what’s achievable. With GRC approaches and solutions that enhance and re-conceive leading industry practices, we are on a mission to provide investment managers the expertise, insights, and capacity they need to think deeply and transformatively about their business and clients—propelling them toward not just what is possible, but what is next.

MCO (MyComplianceOffice) provides integrated compliance management software that enables global firms to proactively manage compliance obligations and the regulated activities of employees, the company and third-party relationships.

With 20+ products on a singular system, our powerful platform helps 1300+ client companies across 105+ countries to move away from manual processes and towards more strategic compliance. Available as a unified suite or à la carte, our easy to use and extensible SaaS solutions get firms up and running quickly and affordably.

Norm Ai is the Legal & Compliance AI company serving clients with over $30 trillion in combined assets under management. By turning legal code into AI code, Norm enables enterprises to move faster and more comprehensively in their business, legal, and compliance workflows, with the auditability, reliability, and trust that regulated institutions require. Norm’s platform combines frontier AI, proprietary legal reasoning systems, and human legal and regulatory expertise.

Quest CE helps financial service organizations manage their compliance operations by offering firm training programs, disclosure tracking services and branch audit solutions. At Quest CE, our goal is simple: we want to be your one-stop-shop for compliance technology, training and support. We’re proud to work with some of the nation’s most prestigious financial institutions, as well as their 600,000 end users – a number that continues to grow daily.

Red Oak Compliance Solutions is a leading provider of intelligent compliance software, offering a range of AI-powered solutions designed to help firms of all sizes navigate the increasingly complex regulatory landscape. Our solutions offer risk minimization, cost reduction, and process optimization capabilities. Our suite of 17(a)-4/WORM compliant features are designed to evolve in step with the ever-changing regulatory landscape, ensuring that it easily scales and our clients always stay ahead of the curve.

Renaissance Regulatory Services, Inc. provides comprehensive regulatory, compliance, and operational consulting and support services to broker-dealers, investment advisers, private funds, investment companies, and banks. We specialize in SEC, FINRA and State compliance examinations, written supervisory procedures, internal controls testing, regulatory reporting, and registration services. RRS has also served as an independent consultant on a wide range of regulatory undertakings for investment advisers, broker-dealers and other financial institutions as well as providing litigation support in regulatory matters. Our services are customized to fit each firm’s unique operations.

Saifr®, a RegTech within Fidelity Investments’ innovation incubator, Fidelity Labs, is committed to safeguarding organizations from pervasive AI and regulatory risks. Using intelligent technology that efficiently and effectively navigates complex compliance and regulatory requirements, Saifr helps clients save time, reduce costs and improve accuracy while protecting the firm. Our advanced, AI-powered risk prevention and management solutions include capabilities for marketing compliance review, adverse media screening and monitoring, and electronic communications surveillance.

Skematic is a compliance management system designed for financial services firms, unifying firm-level program oversight and employee Code of Ethics management in one platform. Compliance teams can manage tasks, policies, certifications, preclearance, trade surveillance, and cases from a single dashboard with real-time visibility. The system consolidates all activity into an audit-ready record, reducing manual work and streamlining exams.

SS&C Advent, a business unit of SS&C, is helping 4,300+ investment firms in more than 50 countries grow their business, minimize risk, and thrive. The Advent Investment Suite (AIS) specifically is built to support investment managers. AIS offers customized and complex portfolio management at scale, rebalancing, trading, compliance, multi-currency accounting, reporting, and performance.

Stradley Ronon’s nationally recognized investment management group counsels investment advisers, from small fast-growing startups to large asset managers, on legal, compliance and regulatory matters arising under the Investment Advisers Act of 1940, the Commodity Exchange Act, federal and state privacy laws, ERISA, and other applicable laws and regulations. We also provide advice on corporate, tax, employment, mergers and acquisitions, and other related matters. In addition, we counsel clients on exam responses, internal investigations, and enforcement and litigation issues.

StratiFi is an AI-powered compliance and risk management platform for RIAs, Hybrid RIAs, and Broker-Dealers. We automate surveillance for suitability alignment, mutual fund share class optimization, portfolio and cash concentration limits, annual review tracking, and IPS drift monitoring. Our PRISM technology quantifies portfolio risk on a 1-10 scale, ensuring client portfolios match their risk tolerance with examination-ready documentation that turns regulatory overhead into competitive advantage.

Wolf & Company has over 100 years of experience and offers a comprehensive suite of assurance, regulatory compliance, and tax services to registered investment advisers, exempt reporting advisers, family offices, and trust companies. Whether an emerging manager or an established firm with a lengthy track record, our expertise and understanding of your industry will enable us to provide you with relevant insights and practical solutions to issues critical to your operations. Our commitment to quality, along with our registration with and inspection by the Public Company Accounting Oversight Board (PCAOB), instills confidence in both investors and regulators.