Built for the Full Spectrum of Modern Financial Firms
NextReg partners with RIAs, ERAs, and Broker-Dealers of every model, from wealth managers and institutional allocators to venture capital, private equity, AI and robo-advisors, fintech platforms, and retail and institutional BDs.
Who We Serve
Every firm we work with runs a different business model. Our team builds compliance programs calibrated to your registration status, client base, and operating structure.
Wealth Manager RIAs
Independent and hybrid RIAs serving individuals, families, and high-net-worth clients who need scalable compliance as they grow.
Learn more →Institutional Asset Manager RIAs
Institutional RIAs managing separate accounts, sub-advisory mandates, and pooled vehicles for sophisticated allocators.
Learn more →Venture Capital Firms
VC firms operating as ERAs or fully registered RIAs, including Form ADV, Form PF, and marketing rule support.
Learn more →Private Equity Firms
PE managers registered as ERAs or RIAs navigating the Private Fund Adviser Rule, custody, and fund disclosures.
Learn more →AI and Robo-Advisors
Algorithm-driven advisers and robo platforms that need algorithm transparency, supervision, and modern disclosure programs.
Learn more →Fintech Platforms
Fintech infrastructure providers and platforms embedding advisory or brokerage functionality into modern client experiences.
Learn more →Retail Broker-Dealers
FINRA-registered retail BDs needing WSPs, Reg BI, supervisory frameworks, and exam readiness for main-street businesses.
Learn more →Institutional Broker-Dealers
Institutional BDs supporting capital markets, prime brokerage, ATS operations, and cross-border order flow.
Learn more →RIAs and ERAs
From SEC and state registration to ongoing CCO support, we cover wealth managers, institutional managers, venture capital, and private equity firms operating as either ERAs or fully registered RIAs.
Broker-Dealers
Retail and institutional BDs rely on us for WSPs, Reg BI, supervisory frameworks, market conduct surveillance, and FINRA and SEC exam readiness.
AI, Robo, and Fintech
AI-driven advisers, robo-advisors, and fintech platforms get algorithm transparency, supervision, and modern disclosure programs built for evolving regulatory expectations.
Strategic Partnership Approach
Our clients want more than checkbox compliance. They rely on us as long-term partners who bring clarity, speed, and institutional-grade precision across every registration type.