Simple Compliance Portal - 2026 Pricing, Features, Reviews & Alternatives

Simple Compliance Portal is a centralized, cloud-hosted compliance management platform built for registered investment advisers (RIAs), Chief Compliance Officers, and compliance consulting firms operating under SEC and state regulatory frameworks. The platform consolidates compliance obligations that would otherwise be scattered across spreadsheets, shared drives, and disconnected tools into a single, secure web-based workspace. Core functionality spans a customizable compliance calendar, task tracking and documentation, employee submissions (advertising, attestations, outside business activity, gift logs, political contributions, and more), review and approval workflows, Form ADV update tracking, delivery acknowledgment records, procedure testing, marketing material review logs with version history, DOL rollover tracking, and policy and client agreement storage with version history. Every supervisory action is timestamped and logged automatically, producing a complete, organized audit trail accessible at any point in time.

Simple Compliance Portal is designed to scale with firms at every stage of growth, from solo practice through multi-office RIA operations and broker-dealers. An enterprise multi-client workspace allows compliance consulting firms to manage multiple RIA clients from a single login, with standardized workflows that can be customized per client, without requiring proportional increases in administrative overhead as adviser headcount grows. The platform is available as a standalone product or bundled with complementary products. Modular pricing allows firms to pay only for the capabilities needed and expand as requirements grow. Unlimited support and training are included. More than 400 registered investment advisers, compliance consulting firms, and broker-dealers across the United States and internationally rely on Simple Compliance Portal to maintain organized, examiner-ready compliance programs.