What is Compliance Advisory Services, Inc.'s NAICS code?

Compliance Advisory Services, Inc.'s NAICS code is 52 (Finance and Insurance).

Insights

Specialized Financial Compliance Compliance Advisory Services’ focus on regulatory compliance for independent broker/dealers and registered investment advisers positions them as a key partner for firms seeking tailored compliance solutions, presenting opportunities for compliance tech providers and regulatory consultants.

Market Niche and Client Needs With a small team of 2-10 employees and revenue ranging from 1 million to 10 million dollars, the company serves mid-sized financial firms that may benefit from scalable compliance management tools and outsourced support services to address staffing shortages.

Regulatory Complexity Focus Their expertise in audits, AML examinations, and regulatory responses indicates ongoing demand for advanced compliance software, forensic testing, and risk assessment tools to streamline and enhance their service offerings.

Industry Competitor Insight Operating in a space with large players like Thomson Reuters and Wolters Kluwer suggests opportunities for niche or specialized compliance solutions that can differentiate from broader service providers, especially tailored to boutique financial advisory firms.

Growth and Partnership Potential Given their role in navigating regulatory burdens, there is potential for partnerships with technology providers offering automation, document management, and compliance monitoring solutions to strengthen their service portfolio and improve client satisfaction.

Compliance Advisory Services, Inc. Email Formats	Example	Percentage
First@complianceadvisoryservicesinc.com	John@complianceadvisoryservicesinc.com	100%

Compliance Advisory Services, Inc. Email Formats

Example

Percentage

First@complianceadvisoryservicesinc.com

John@complianceadvisoryservicesinc.com

100%

Frequently Asked Questions

Where is Compliance Advisory Services, Inc.'s headquarters located?

Compliance Advisory Services, Inc.'s main headquarters is located at Atlanta, Georgia 30340 United States. The company has employees across 2 continents, including EuropeNorth America.

What is Compliance Advisory Services, Inc.'s official website and social media links?

Compliance Advisory Services, Inc.'s official website is complianceadvisoryservicesinc.com and has social profiles on LinkedIn.

What is Compliance Advisory Services, Inc.'s SIC code NAICS code?

Compliance Advisory Services, Inc.'s SIC code is 7299 - Miscellaneous Personal Services, Not Elsewhere Classified NAICS code is 52 - Finance and Insurance.

How many employees does Compliance Advisory Services, Inc. have currently?

As of March 2026, Compliance Advisory Services, Inc. has approximately 7 employees across 2 continents, including EuropeNorth America. Key team members include Director: E. C.Bsa/Aml Consultant: L. V.. Explore Compliance Advisory Services, Inc.'s employee directory with LeadIQ.

What industry does Compliance Advisory Services, Inc. belong to?

Compliance Advisory Services, Inc. operates in the Financial Services industry.

What is Compliance Advisory Services, Inc.'s email format?

Compliance Advisory Services, Inc.'s email format typically follows the pattern of First@complianceadvisoryservicesinc.com. Find more Compliance Advisory Services, Inc. email formats with LeadIQ.

When was Compliance Advisory Services, Inc. founded?

Compliance Advisory Services, Inc. was founded in 1999.

Compliance Advisory Services, Inc.

Financial ServicesGeorgia, United States2-10 Employees

Our extensive experience working with independent broker/dealers, registered investment advisers and financial planning boutique operations leaves us uniquely qualified to help with your compliance needs.

We offer assistance with audits of the business, anti-money laundering examinations, supervisory controls testing, registrations, compliance manuals, regulatory responses, compliance staff support, templates of various compliance related documents, risk assessment, forensic testing, implementation of best practice procedures, and more. We will customize our services to fit your needs.

No one knows better how overwhelming the regulators can make this business.  Combine that with cutbacks in both staff and resources and a severe shortage of trained compliance personnel and it’s a recipe for disaster for many firms.  We stand ready to assist you to navigate the compliance and regulatory waters.

Insights

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