Nitrogen Compliance

Nitrogen Compliance

What if you could effectively manage complex compliance requirements across your entire firm?

As your firm is growing, you need to set systems in place to ensure that everything is in compliance. That’s where Nitrogen Compliance comes in. Whether you’re a Chief Compliance Officer at a firm with thousands of advisors, or compliance is one of your many hats at your RIA, wealth management firms deploy our best-in-class compliance software to keep the rocket ship they’ve built safely on course.

Book a demo

Synchronize your firm’s data

Our platform uses enterprise-grade data architecture and search technology to calculate risk on every holding in every account daily. You can define acceptable ranges for each account based on your investment or risk objectives. With search and filter criteria, you can easily find any account or holding you need, allowing you to segment your entire book of business.

Spot compliance issues in minutes

Instantly pinpoint misalignment and empower advisors to take action. With Nitrogen Compliance, misaligned investment objectives, concentrated positions, and other compliance issues can become a thing of the past. It is easier than ever before for compliance teams and executives to identify misaligned accounts, dive into the holdings, and find solutions for issues without breaking a sweat. Now your team can spend less time finding problems and more time solving them.

Empower your team to take action

Our financial services compliance software helps protect your firm while empowering advisors to grow their books of business. With collaboration tools, you can easily review accounts and investment details, and keep accounts on track. Our platform helps your firm keep all accounts aligned, giving you a competitive edge while turning compliance into an opportunity to succeed.

a powerful tool for firms

The compliance solution that drives success

See how real wealth management firms turned compliance into an opportunity.

An Advisor Received an Auditor’s Referral With Nitrogen

An unannounced audit turned into an unexpected referral with the help of Nitrogen's documented proof of best interest.

President of RIA Burgess Wealth Advisory Passed a Surprise Audit in Record Time With Nitrogen

How the sole owner and operator of an RIA passed a thorough State Corporate Commission audit in one hour—without breaking a sweat.

Nitrogen Helps Independent RIA & Broker-Dealer With $3B+ AUM Set The Bar For Fiduciary Care

Founders Financial Securities surpasses SEC Regulation, elevates compliance, and documents best interest at the highest level with Nitrogen at the core of its tech stack and client experience.

Compliance management features

Business Oversight

Analyze every holding in your entire book of business at the account or household level.

Automated Compliance Workflows

Save time and reduce errors with daily updates driven by our data feeds.

Pinpoint misalignment

See which accounts have inappropriate investments, concentrated positions, or are out of alignment with their target.

Customizable Search Filters

Easily segment every account in your business to single out one account or find thousands that fit your parameters.

Seamless Integrations

Bring all of your data together in one place by syncing your firm’s account data across your tech stack.

Account Permission Levels

Enhance transparency and collaboration on your team by giving supervisors the ability to review portfolios and flag accounts.

Nitrogen Integrations


Connect across your firm’s technology

You’re only as efficient as the systems around you

Advisors and firms love how easily Nitrogen integrates with their existing technology, enabling real-time insights and client visibility. The Nitrogen API and Nitrogen data connectors allow for easy integration with popular CRMs, portfolio management systems, trading platforms, your firm’s own data lake or warehouse, and 40+ other technology providers.

See Integrations

Powerful Integrations:


Request a demo

See for yourself how the Nitrogen Growth Platform can help your firm win prospects faster, drive a personalized client experience at scale, attract and retain the best talent, increase firmwide efficiency, and turn compliance into an opportunity.

Schedule Demo

Frequently Asked Questions
What is regulatory compliance for the financial services industry?

Put simply, financial services compliance is a set of rules that ensures the protection of investors and is critical to business operations for financial advisors and wealth management firms. The two major governing bodies for financial services compliance are FINRA (Financial Industry Regulatory Authority) and the SEC (Securities and Exchange Commission). Together, these organizations set out guidelines designed to protect investors and ensure fairness in the financial markets. Additionally, fiduciary duty is a high-level principle that financial advisors must adhere to. This means they are obligated to act in their clients’ best interests when it comes to managing investments.