What departments does RIA Compliance Group, LLC have?

RIA Compliance Group, LLC has employees across 2 departments including Operations, Consultant.

What is the largest department at RIA Compliance Group, LLC?

The largest department at RIA Compliance Group, LLC is Operations with 2 employees.

Where are RIA Compliance Group, LLC employees located globally?

RIA Compliance Group, LLC has employees across 1 continents and 1 countries including United States Of America.

How has RIA Compliance Group, LLC's team size changed over time?

RIA Compliance Group, LLC's team has remained stable from approximately 3 to 3 employees based on available data.

RIA Compliance Group, LLC Employee Directory

Financial ServicesFlorida, United States2-10 Employees

RIA Compliance Group is a small financial services firm focused on helping registered investment advisers meet regulatory requirements. It offers retainer-based packages designed to fit a range of budgets, ensuring advisers pay only for services they need. The firm provides a suite of compliance offerings, including full-service SEC and state registrations, advertising content compliance, mock examinations, and ongoing compliance support.

Based in Boca Raton, Florida, the company positions itself as a practical, comprehensive resource for advisers seeking ongoing regulatory guidance. In 2016, RIA Compliance Group formed a strategic alliance with Pension Resource Institute to help clients understand fiduciary responsibilities under the DOL Fiduciary Rule.

RIA Compliance Group, LLC Global Highlights

North America
7

United States Of America
7

RIA Compliance Group, LLC's Leadership

E. S.
Director Of Operations
Mobile Phone
Email
D. D.
Compliance Director
Mobile Phone
Email
D. C.
Compliance Director
Mobile Phone
Email
E. S.
Director Of Operations
Mobile Phone
Email
A. J.
Managing Member, Senior Consultant
Mobile Phone
Email
J. S.
Senior Compliance Consultant
Mobile Phone
Email

RIA Compliance Group, LLC Employee Metrics

100%

50%

0%

2026

2025

Banking
Legal
Accounting
Administrative
Analytics
Other

Contact profiles from RIA Compliance Group, LLC

Name

Title

Contact Info

Location

Last Update

E. S.
Director Of Operations
Mobile Phone
Email
United StatesFlorida
Oct 23, 2025
D. D.
Compliance Director
Mobile Phone
Email
United StatesFlorida
Oct 20, 2025
D. C.
Compliance Director
Mobile Phone
Email
UNITED STATES
Jul 07, 2024
E. S.
Director Of Operations
Mobile Phone
Email
Oct 17, 2024
A. J.
Managing Member, Senior Consultant
Mobile Phone
Email
United StatesFlorida
Nov 20, 2025
J. S.
Senior Compliance Consultant
Mobile Phone
Email
United StatesFlorida
Nov 17, 2025

Frequently Asked Questions

What is RIA Compliance Group, LLC known for?

RIA Compliance Group, LLC was founded in 2010 operates in the Financial Services industry. The company's main headquarters is located in 5301 North Federal Highway Suite 380 Boca Raton, Florida 33487 United States; you can contact the main corporate office by phone at

+1-561-600-****

. Explore RIA Compliance Group, LLC's company overview page for more information.

What is RIA Compliance Group, LLC's most common email format?

RIA Compliance Group, LLC employees' email format typically follows the pattern of . Trying to find reliable and up-to-date employee contact data? Find more RIA Compliance Group, LLC email formats with LeadIQ.

How many employees does RIA Compliance Group, LLC have currently?

RIA Compliance Group, LLC has approximately 4 employees as of April 2026. These team members are located across 1 continents, including North America.

Who are RIA Compliance Group, LLC's key employees and leadership?

As of April 2026, RIA Compliance Group, LLC's key employees include:

Director Of Operations: E. S.
Compliance Director: D. D.
Compliance Director: D. C.
Director Of Operations: E. S.
Managing Member, Senior Consultant: A. J.

Looking for contact data? Unlock accurate emails and phone numbers for your ideal prospects with LeadIQ.

Everything for prospecting,
in one platform.

What you can expect from LeadIQ:

B2B data verified in real-time
Sync data to your CRM, & add it to an outreach sequence in one click
Integrations with your tech stack for optimal efficiency
A patented AI cold email generator
Account & contact-level job change tracking

RIA Compliance Group, LLC Employee Directory

Find RIA Compliance Group, LLC employees' phone numbers or email addresses

Name search is limited — try advanced search instead

RIA Compliance Group, LLC Global Highlights

North America
7

RIA Compliance Group, LLC's Leadership

RIA Compliance Group, LLC Employee Metrics

Contact profiles from RIA Compliance Group, LLC

Frequently Asked Questions

What is RIA Compliance Group, LLC known for?

What is RIA Compliance Group, LLC's most common email format?

How many employees does RIA Compliance Group, LLC have currently?

Who are RIA Compliance Group, LLC's key employees and leadership?

Everything for prospecting,
in one platform.

What you can expect from LeadIQ:

Ready to create more pipeline?

RIA Compliance Group, LLC Employee Directory

Find RIA Compliance Group, LLC employees' phone numbers or email addresses

Name search is limited — try advanced search instead

RIA Compliance Group, LLC Global Highlights

North America7

RIA Compliance Group, LLC's Leadership

RIA Compliance Group, LLC Employee Metrics

Contact profiles from RIA Compliance Group, LLC

Frequently Asked Questions

What is RIA Compliance Group, LLC known for?

What is RIA Compliance Group, LLC's most common email format?

How many employees does RIA Compliance Group, LLC have currently?

Who are RIA Compliance Group, LLC's key employees and leadership?

Everything for prospecting,in one platform.

What you can expect from LeadIQ:

Ready to create more pipeline?

North America
7

Everything for prospecting,
in one platform.