ComplianceMax Financial Overview

  • Founded
  • 2003
  • Status
  • Acquired/​Merged
  • Latest Deal Type
  • M&A
  • Financing Rounds
  • 1

ComplianceMax Financial General Information


Operator of a web-based compliance platform designed to offer regulatory compliance services. The company's web-based compliance platform and technology enabled products which are designed by compliance professionals in a modular fashion, are provided along with various services including audits, consulting, compliance forms management, automated surveillance, licensing/registration services and customized training, enabling financial brokers and dealer, investment advisers as well as hedge funds of the financial services industry to streamline their business by reducing compliance burden while improving their supervisory oversight.

Contact Information

Ownership Status
Financing Status
Corporate Backed or Acquired
Primary Industry
Consulting Services (B2B)
Other Industries
Business/Productivity Software
Other Commercial Services
Primary Office
  • 10089 Willow Creek Road
  • Suite 120
  • San Diego, CA 92131
  • United States
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ComplianceMax Financial Valuation & Funding

Deal Type Date Amount Valuation/
Post-Val Status Debt

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ComplianceMax Financial Executive Team (1)

Name Title Board Seat Contact Info
Lisa Roth Founder, President & Chief Executive Officer
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