Compliance shouldn't cost you your independence.
Nomos Regulatory Advisory delivers proactive, affordable compliance solutions built for solo advisors and small RIA teams. From registration to ongoing oversight — we handle the regulatory complexity so you can focus on your clients.
A straightforward path to compliance
Discovery
We learn about your firm, goals, and compliance needs in a no-pressure conversation.
Assessment
Our team evaluates your current compliance posture and identifies gaps or opportunities.
Implementation
We build and deploy your compliance framework — policies, procedures, and ongoing oversight.
Partnership
Continuous support, proactive monitoring, and strategic guidance as your firm grows.
Compliance solutions that scale with your firm
Whether you're launching your first RIA or managing a growing team, we provide the regulatory infrastructure you need — without the enterprise price tag.
RIA Registration
State & SEC
We guide you through the entire registration process — whether you're filing with your state or transitioning to SEC registration. From Form ADV preparation to compliance program design, we handle the heavy lifting.
- Form ADV Part 1 & 2 preparation
- State & SEC filing management
- Compliance program setup
- Policies & procedures drafting
Ongoing Compliance
Stay ahead of regulators
Regulatory requirements don't stop after registration. Our ongoing compliance support ensures your firm stays current with evolving regulations, filing deadlines, and best practices — without the overhead of a full-time compliance team.
- Annual ADV amendments
- Regulatory filing deadlines
- Compliance calendar management
- Mock examinations & readiness
Outsourced CCO
Expert leadership, fractional cost
Get experienced Chief Compliance Officer support at a fraction of the cost of a full-time hire. Our outsourced CCO service gives your firm dedicated compliance leadership, oversight, and accountability.
- Dedicated compliance oversight
- Regulatory exam preparation
- Board & management reporting
- Risk assessment & mitigation
Consulting Services
Strategic compliance guidance
Need targeted expertise? Our consulting engagements address specific compliance challenges — from technology assessments to regulatory change management and everything in between.
- Compliance technology assessment
- Regulatory change management
- Custom compliance solutions
- Staff training & education
100%
Client-focused approach
Your compliance partner, not just another vendor
Nomos Regulatory Advisory was founded on a simple premise: independent advisors deserve access to sophisticated compliance support without paying for overhead they don't need. We partner with RIAs at every stage — from initial registration through ongoing operations — delivering the expertise of a large compliance department at a price that makes sense for growing firms.
Built for Modern RIAs
We understand the unique challenges facing independent advisors and small teams in today's regulatory environment. Our solutions are designed specifically for firms that need enterprise-quality compliance without the enterprise cost.
Proactive, Not Reactive
We don't wait for problems to find you. Our approach anticipates regulatory changes, identifies potential issues early, and keeps your firm ahead of compliance deadlines — not scrambling to catch up.
Technology-Forward
We leverage modern compliance technology and streamlined processes to deliver efficient, transparent service. You'll always know where your firm stands and what's coming next.
Affordable & Transparent
No hidden fees, no surprise invoices. Our pricing is straightforward and designed to give growing RIAs access to the same quality of compliance support that larger firms enjoy.
Trusted by advisors who value their time
"Nomos made our SEC registration process seamless. Their team anticipated every question the regulators would ask and had us prepared well in advance. We couldn't have done it without them."
Managing Partner
Boutique RIA, Arizona
"As a solo advisor, I needed compliance support that understood my budget constraints. Nomos delivers enterprise-quality oversight at a price that actually works for my firm. They're responsive, knowledgeable, and genuinely invested in my success."
Independent Financial Advisor
Solo RIA, North Carolina
"Switching to Nomos for our outsourced CCO was the best decision we made last year. Their proactive approach means we're never caught off guard by regulatory changes, and their technology makes everything transparent."
Founding Partner
Growing RIA, Colorado
Your firm deserves compliance support that keeps pace with your ambition
Stop overpaying for outdated compliance models. Nomos delivers modern, tech-forward regulatory support at a price that respects your bottom line.
Start the conversationStay informed, stay compliant
Small RIA Compliance Calendar & Change-Event Checklist
A concise, review-first workbook for organizing the annual rhythm, assigning compliance owners, and recognizing changes that may affect firm documents or operating controls.
Educational resource only. It does not provide legal advice, determine filing obligations, or replace a firm-specific compliance review.
2026 SEC Examination Priorities: What Small RIAs Need to Know
The SEC has released its 2026 exam priorities with a renewed focus on cybersecurity, Reg BI compliance, and private fund oversight. Here's what matters for your firm.
State vs. SEC Registration: Making the Right Choice for Your Growing Firm
Crossing the $100M AUM threshold? Understanding the transition from state to SEC registration is critical. We break down the timeline, requirements, and common pitfalls.
Building a Compliance Culture in a Remote-First RIA
Remote work has transformed how advisory firms operate. Learn how to maintain robust compliance oversight when your team is distributed across multiple locations.
The Small RIA Annual Compliance Review: A Practical, Evidence-First Framework
An educational framework for organizing an annual review around the firm’s actual changes, implementation evidence, and follow-through.
Form ADV Change Events: A Small RIA’s Practical Review Map
A source-backed way to log changes, separate facts from conclusions, and identify disclosures or controls that may need review.
Outsourced CCO vs. Compliance Consulting: How Small RIAs Can Define the Difference
Understand the operating difference between a named CCO framework and a focused compliance project before selecting a support model.
RIA Examination Readiness: An Evidence and Access Framework for Small Firms
A source-backed framework for organizing firm facts, records, evidence, and response roles before a regulatory examination becomes an active workstream.
Have a compliance question? We'd love to help.
Contact our teamFrequently asked questions
We work primarily with solo advisors and small teams (1–10 people), though we also support slightly larger firms. Our solutions are specifically designed for firms that need sophisticated compliance support but don't want to pay for a full-time compliance department or the overhead of large enterprise providers.
Generally, advisors managing less than $100 million in assets under management (AUM) register with their state securities regulator, while those managing $100 million or more register with the SEC. There are exceptions based on your state and business model. We'll help you determine the right path and manage the entire registration process.
An outsourced Chief Compliance Officer provides the same oversight and leadership as an in-house CCO — reviewing policies, managing your compliance program, preparing for examinations, monitoring regulatory changes, and serving as your firm's compliance point person — but on a fractional basis. You get experienced compliance leadership without the full-time salary and benefits cost.
Three key differences: First, we're built specifically for modern, tech-forward RIAs — not legacy firms. Second, our pricing is transparent and affordable, designed for growing firms rather than established enterprises. Third, we take a proactive approach, anticipating issues before they become problems rather than simply reacting to regulatory changes.
Our ongoing compliance support covers annual ADV amendments, compliance calendar management, regulatory filing deadlines, policy and procedure updates, mock examinations, employee compliance training, advertising review, and ongoing guidance on regulatory developments that affect your firm. Think of it as having a compliance department on retainer.
Timeline varies based on your situation, but most state registrations can be completed within 4–8 weeks, while SEC registrations typically take 6–12 weeks. We'll provide a clear timeline during our initial consultation and keep you informed at every step of the process.
Absolutely. We work with RIAs across the entire country. Compliance requirements are largely federal (for SEC-registered firms) or follow similar patterns across states. Our team has experience with registrations and compliance programs in all 50 states, and our technology-forward approach means geography is never a barrier to excellent service.
Still have questions? We're happy to help.
Reach out to our team→Ready to simplify your compliance?
Fill out the form and a member of our team will reach out within one business day. No pressure, no sales pitch — just a straightforward conversation about your firm's needs.
"We built Nomos because we believe every advisor — regardless of firm size — deserves access to compliance expertise that's both excellent and affordable."