Advisor Data for Compliance Tech

The Problem

Your TAM is every registered financial advisor in the country, but your data provider lumps them in with insurance agents, mortgage brokers, and bank tellers under 'financial services.' You can't segment by registration type, compliance burden, or regulatory jurisdiction.

How Fiducia Solves This

Fiducia gives you CRD-verified contacts segmented by registration type (RIA, BD rep, dual-registered), regulatory body (SEC vs state), and firm size. Target advisors at firms with 10+ reps who face the heaviest compliance load. Every record includes active license verification so you're not pitching to advisors who left the industry.

Who This Is For

This data is built for sales, marketing, and business development teams at companies like ComplySci, RegEd, Smarsh, Global Relay. If your target buyer is a financial advisor, RIA firm owner, or wealth management professional, Fiducia gives you the contacts that generic databases miss.

Your team gets verified email addresses that don't bounce, direct phone numbers that connect to the right person, and regulatory data that confirms each advisor is actually registered and active. No more filtering through banks, mortgage brokers, and payday lenders to find the advisors you sell to.

Data Fields Included

Every advisor record delivered to compliance technology teams includes:

• Identity: Full name, CRD number, firm name and CRD
• Registration: License types (Series 7, 65, 66), registration status, regulatory body
• Financial: AUM range from SEC ADV filings
• Contact: Verified email, direct phone number, mailing address
• Credentials: CFP, CFA, ChFC, CIMA, and other professional designations
• Compliance: Disclosure history from FINRA BrokerCheck

Common Filters for Compliance Technology

Teams in the compliance technology space typically filter advisor data by:

• Registration type (RIA, broker-dealer, dual-registered, insurance-licensed)
• AUM range (solo practitioners vs mid-size firms vs large enterprises)
• Geography (state, metro area, zip code, or custom territory)
• Firm structure (independent, wirehouse, hybrid, corporate RIA)
• Credentials and specializations relevant to your product

Why Not ZoomInfo or Apollo?

Generic B2B databases tag financial professionals under a single "financial services" industry label. That includes commercial bankers, mortgage originators, fintech employees, and hedge fund analysts alongside the registered advisors you're trying to reach.

Fiducia starts from regulatory databases (FINRA, SEC, state regulators), which means every contact is a verified registered professional. We add AUM segmentation, license-type filtering, and credential data that generic tools don't have. The result: your team spends less time qualifying leads and more time having conversations with the right people.