TRUSTED BY INDEPENDENT ADVISORS ACROSS THE NATION
About us
NextReg Compliance was founded by career Chief Compliance Officers with decades of combined experience managing institutional compliance for firms overseeing $300+ billion in AUM. We’ve built and led programs for some of the world's largest bank-affiliated RIAs—now, we bring that expertise to independent advisors.
Our mission is simple: institutional-grade SEC compliance shouldn’t be exclusive to the biggest firms. Independent RIAs deserve high-quality, cost-effective solutions without unnecessary complexity.
We offer flexible service models tailored to your needs, from recurring consulting to fully outsourced compliance management or targeted support for specific filings. Whether you need foundational oversight or full-scale program implementation, we provide scalable solutions that grow with your business.
At NextReg Compliance, we go beyond checking boxes—we build compliance programs that protect and empower your firm, so you can focus on serving clients and growing with confidence.
Let our experts handle compliance, so you can focus on growing your business.
The Compliance Dilemma for Independent RIAs
For independent RIAs in growth mode, compliance is more than a requirement—it’s a constant challenge. Big consulting firms offer expertise but at prohibitive costs, while other providers often lack reliability.
At NextReg Compliance, we bridge the gap, delivering institutional-grade SEC compliance support tailored to independent advisors. Our hands-on approach ensures you’re never navigating regulatory complexities alone.
Compliance should empower, not hinder your business. From SEC exams to policy refinement and daily compliance hurdles, we provide practical, high-quality solutions that help you scale with confidence—without the headaches.
Why Choose NextReg
Tailored Compliance Solutions
Our tailored compliance solutions are designed to fit the unique needs of each advisor, ensuring seamless integration and ease of operation.
Expert Consultations
We offer complimentary expert consultations, allowing us to understand your specific compliance requirements.
Industry Recognition
Our commitment to excellence has been recognized through industry awards, reflecting our dedication to delivering exceptional service.
Regulatory Assurance
As a licensed and insured compliance partner, We provide the assurance and peace of mind you need to navigate complex regulatory landscapes.