ComplySci Funding History & Investors
ComplySci has raised $131M across 3 funding rounds, most recently a $120M undisclosed-stage round in June 2021.
Last ComplySci funding round
$120M
Undisclosed stage · Jun 2021
Cumulative funding ComplySci raised
$131M
across 3 funding rounds
Key investors in ComplySci
Edison Partners
K1 Investment Management
About ComplySci
New York-based ComplySci is a regulatory technology provider founded in 2003, serving over 1,400 clients including leading global financial institutions. The platform monitors employee personal trading, political donations, gifts, and outside business activities to detect conflicts of interest and ensure SEC and FINRA compliance through automated surveillance and reporting.
Founded
2003
HQ
New York City, NYWebsite
Status
Privately held
Customer focus
B2B
Revenue model
Subscription
ComplySci Funding History
ComplySci has raised a total of $131M across 3 funding rounds.
ComplySci's first fundraising round was a $8M Series A in January 2014. The most recent completed round was a $120M undisclosed-stage round in June 2021.
ComplySci funding rounds
| Date | Stage | Investors | Raised | Deal Summary |
|---|---|---|---|---|
| Jun 2021 | Undisclosed stage | K1 Investment Management (lead) | $120M | ComplySci, the leading provider of regulatory technology (RegTech) and compliance solutions for the financial services sector, received a growth capital investment of approximately $120 million from K1 Investment Management on June 10, 2021. The investment was described as a growth equity round, with K1 joining existing investors Vista Equity Partners and Edison Partners, who retained their stakes. ComplySci, founded in 2003 and operating as Compliance Science, serves broker-dealers, registered investment advisers, hedge funds, private equity firms, venture capital firms, and other financial services entities to identify and mitigate employee regulatory and compliance risks through software platforms. The capital was intended to support new and enhanced solutions for ComplySci's expanding customer base of over 1,400 clients, accelerate growth through product development, and pursue acquisitions. CEO Amy Kadomatsu highlighted the company's record financial performance in Q1 2021 as its strongest ever, underscoring momentum in the fintech compliance segment amid complex regulatory environments. K1's involvement was positioned to drive expansion opportunities in tech-empowered employee compliance. Post-investment, ComplySci expanded its board with additions like Stephen Marsh of Smarsh and Susan Theder of Advisor Group, reflecting growth momentum. The company continued aggressive expansion, acquiring RIA in a Box (previously backed by Aquiline Capital Partners, which had tripled its revenue), NRS, and illumis, building a robust portfolio of compliance, cybersecurity, and operational tools for wealth management. In 2022, ComplySci was recognized as 'Best New Solution Provider' by Private Equity Wire, following the K1 investment and acquisitions. |
| Jul 2016 | Seed | - | $3M | - |
| Jan 2014 | Series A | Edison Partners (lead) | $8M | ComplySci (then Compliance Science, Inc.) received an $8.25M Series A investment from Edison Partners (then Edison Ventures) on January 8, 2014. This marked the company's initial outside capital, with Edison acquiring a minority ownership interest. The funding aimed to accelerate technology and product development, as well as expand sales and marketing efforts. |
Who has invested in ComplySci?
2 investors have backed ComplySci across its funding rounds, including Edison Partners and K1 Investment Management.
Lead investors include K1 Investment Management and Edison Partners.
ComplySci Investors
| Investor | HQ | Rounds | Role | First check |
|---|---|---|---|---|
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Start Free TrialAcquisitions by ComplySci
ComplySci has acquired 3 companies to date.
Last acquisition by ComplySci was on December 9th 2021. ComplySci acquired RIA in a Box for undisclosed valuation.
Latest Acquisitions by ComplySci
| Description | RIA in a Box is a Cumming, Georgia-based SaaS provider offering compliance management software for registered investment advisers across the United States. The platform automates Form ADV filing, cybersecurity audits, and employee trading oversight for nearly 2,000 firms managing assets from USD 100 million to over USD 10 billion. Additional modules include CRM integration with Redtail and billing tied to custodial platforms like Schwab and Fidelity. | illumis is a data aggregation platform compiling public records from government databases and court filings. Located in Washington, D.C., the service equips finance, political, and media organizations with searchable archives for due diligence and investigations. Founded in 2018, illumis streamlines access to property, litigation, and corporate records across U.S. jurisdictions. | National Regulatory Services is a Melville-based compliance provider under Accuity serving broker-dealers, investment advisers and hedge funds. It offers RegTech software for Form ADV filings, annual reviews and cybersecurity audits alongside training programs accredited by FINRA. |
| HQ Country | | | |
| HQ City | New York City, NY | New York City, NY | Minneapolis, MN |
| Deal Date | 9 Dec 2021 | 18 Nov 2021 | 21 Oct 2021 |
| Valuation | undisclosed | $18M | undisclosed |
| EV/Revenue | |||
| EV/EBITDA | |||
This data is available for Pro users. Sign up to see all ComplySci acquisitions and their M&A valuation multiples. Start Free Trial | |||
Investments by ComplySci
ComplySci has invested in 1 company to date.
Latest investment by ComplySci was on January 29th 2019. ComplySci invested in Bipsync in their $7M Series A round.
Latest Investments by ComplySci
| Description | San Francisco-headquartered Bipsync is a research and workflow management platform for investment firms across asset classes and strategies. Founded in 2012, the company serves allocators from the largest institutions to emerging managers with tools for data aggregation, collaboration, and operational efficiency in a single system of record. |
| HQ Country | |
| HQ City | New York City, NY |
| Deal Date | 29 Jan 2019 |
| Round | Series A |
| Raised | $7M |
| Investors | PFS; MoneyLion; GAIN Capital; BFS Capital; Franchise Group; FINTOP Capital; EdgeTrade; Predata; Edison Partners; Clearpool Group |
| Valuation | undisclosed |
| EV/Revenue | |
| EV/EBITDA | |
This data is available for Pro users. Sign up to see all ComplySci investments and their VC round multiples. Start Free Trial | |
Common questions about ComplySci
| When was ComplySci founded? | ComplySci was founded in 2003. |
| Where is ComplySci headquartered? | ComplySci is headquartered in New York City, NY, United States. |
| Is ComplySci publicly listed? | No, ComplySci is a private, VC-backed company. |
| How much funding has ComplySci raised? | ComplySci has raised $131M across 3 funding rounds. |
| What was ComplySci's last funding round? | ComplySci's last funding round was a $120M undisclosed-stage round in June 2021, led by K1 Investment Management. |
| Who are ComplySci's investors? | ComplySci's investors include K1 Investment Management and Edison Partners. |
| How many companies has ComplySci acquired? | ComplySci has acquired 3 companies, including RIA in a Box, illumis and National Regulatory Services. |
| What was the largest acquisition by ComplySci? | The $18M acquisition of illumis in November 2021 is the largest acquisition ComplySci has made to date. |
| How many companies has ComplySci invested in? | ComplySci has invested in 1 company, including Bipsync. |
| What was ComplySci's last investment? | In January 2019, ComplySci invested in Bipsync's $7M Series A alongside PFS, MoneyLion, GAIN Capital and 7 other investors. |
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