Institutional Grade SEC and FINRA Compliance for Modern Investment Firms
From fintech startups to established asset managers, NextReg is the regulatory partner for the next generation of investment advice.
Advisors getting a start as independent advisory firms
Serving advisory firms and fintech platforms managing billions in client assets.
Combining human expertise with practical automation and AI tools to deliver efficient, scalable compliance.
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Built for the Future of Investment Advice
We specialize in serving firms at the intersection of finance and technology
Fintech & Robo-Advisors
Automated advice platforms, digital wealth management, and next-gen investment technology
AI-Driven Firms
Machine learning models, algorithmic strategies, and AI-powered investment solutions
Independent RIAs
Growth-focused advisory firms seeking institutional-grade compliance infrastructure
Emerging Asset Managers
New fund launches, spin-outs, and firms scaling their investment operations
Comprehensive Compliance Solutions
Support for firms needing complete compliance infrastructure, guidance, and scalable solutions.
Other ServicesExempt Reporting Advisers
Venture capital and private equity funds navigating state and federal requirements
The People Behind NextReg
Career Chief Compliance Officers from the industry's largest institutions, working alongside technologists who turn regulation into automation — institutional rigor at technology speed.
Giovanni Corrado Launches NextReg to Rethink Compliance for Tech-Enabled Investment Advisors
AP News carries the NextReg launch.
July 20, 2026
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Giovanni Corrado Launches NextReg to Rethink Compliance for Tech-Enabled Investment Advisors
Our launch: 75+ institutions and over $20 billion in assets.
July 20, 2026
Read the announcement
Former BBVA compliance executives launch NextReg with $20bn client base
Our launch: 50+ clients and over $20bn in assets under management.
July 16, 2026
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Giovanni Corrado Launches NextReg to Rethink Compliance for Tech-Enabled Investment Advisors
Morningstar carries the NextReg launch.
July 20, 2026
Read the announcementNextReg launches with a new AI-native model for adviser compliance services
Fintech Global covers the launch of NextReg's AI-native compliance model.
July 30, 2026
Read the articleA CCO's perspective: Giovanni Corrado on U.S. regulatory challenges in wealthtech
A CCO's view on the U.S. regulatory challenges facing wealthtech.
August 28, 2025
Read the articleNextReg launches with a new AI-native model for adviser compliance services
Why compliance should work like an operating system, not a binder.
July 30, 2026
Read the articleComprehensive Compliance Solutions
End-to-end regulatory support from registration through ongoing compliance
New RIA Registration & Launch
Complete SEC or state registration process including Form ADV preparation, policies, and regulatory filings
Explore new ria registration & launchCCO-as-a-Service
Fractional Chief Compliance Officer services with institutional expertise and modern efficiency
Explore cco-as-a-serviceFintech & Robo Advisory
Specialized support for automated advice platforms, model governance, and vendor due diligence
Explore fintech & robo advisoryCompliance Automation
AI-powered tools for marketing review, ADV drafting, and workflow automation
Explore compliance automationAnnual Reviews & Mock Exams
Comprehensive compliance testing, policy updates, and exam preparation
Explore annual reviews & mock examsSEC & State Exam Support
Expert guidance through regulatory examinations with institutional CCO experience
Explore sec & state exam supportWhy Leading Firms Choose NextReg
We combine decades of institutional compliance experience with cutting-edge automation to deliver unmatched value.
Institutional Expertise
Our team brings senior CCO experience from major broker-dealers and asset managers
Technology-Forward Approach
AI tools and automated workflows streamline compliance operations
SEC Compliance Expertise
Deep expertise in SEC regulations, including the Marketing Rule, fintech, and robo-advisory compliance
Scalable Solutions
Flexible engagement models that grow with your firm from startup to enterprise
Ready to Modernize Your Compliance?
Schedule a consultation to discuss how NextReg can support your firm's growth and regulatory needs.
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