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Two Intelligence Products

What Are Wealth Management &
Compliance Firms Doing?

Omnex tracks 22 live data points across both sides of the wealth management ecosystem — operations and compliance — so anyone in the market can see what's actually happening.

WM Intelligence · 16 Modules

What Are Wealth Managers, TAMPs & Aggregators Actually Doing?

16 live data points tracking the operations, technology, revenue, and compliance of independent wealth managers, TAMPs, and aggregators — segmented by firm model and AUM band.

Who this is for: Wealth managers, TAMPs, aggregators, and PE investors who need to understand what the market is doing — on compliance spend, AI adoption, revenue per advisor, succession planning — broken down by firm type and AUM band.

Wealth Managers
TAMPs
Aggregators
PE-Backed Firms
R-1 Firm Snapshot · OC · $620M AUM · 72nd percentile
72nd
Overall Rank
$620K
Rev / Advisor
38%
AI Adoption
Firm vs. Peer Median (OC · $500M–$1B)
Compliance Cost
+22%
AI Automation
−41%
Revenue/Advisor
+12%
Succession Readiness
−28%
Fee Compression Rate
−3%
AI Adoption by Use Case — Your Firm vs. Peer
Compliance Review
Client Reporting
Prospecting
Meeting Prep
Peer median shown in grey · Your firm in color

What WM Intelligence Answers

What are comparable firms spending on compliance — as a share of revenue?
R-2 tracks compliance cost as a share of revenue across every firm type and AUM band. The spread between the top and bottom quartile is wider than most people expect.
→ Module R-2: Compliance & Regulatory
Which AI tools are wealth management firms actually using — and for which compliance tasks specifically?
R-4 tracks 12 specific AI use cases with real adoption rates from contributing firms — not vendor estimates. Compliance review AI sits at 22% for the average OC firm, top-quartile firms are at 64%.
→ Module R-4: AI & Automation
How much AUM across the market is concentrated in clients over 65 — and what are firms doing about it?
R-9 tracks AUM age concentration and next-gen engagement rates across the market — by firm type. 38% of advisors plan to exit within 5 years. Omnex tracks how the market is responding.
→ Module R-9: Generational Transfer
What does revenue per advisor look like across the market — and where is fee compression hitting hardest?
R-6 tracks revenue per advisor, effective fee rates, and year-over-year compression by AUM band and firm type. Updated continuously as firms report in.
→ Module R-6: Revenue Strategy
How many firms have documented succession plans — and what does key-person dependency look like across the market?
R-5 tracks succession documentation rates, key-person dependency ratios, and advisor exit timelines across the market. 38% of advisors plan to exit within 5 years — Omnex tracks how many firms are actually prepared.
→ Module R-5: Staffing & Succession
What are wealth management firms planning over the next 12 months — M&A, new services, expansion?
R-11 tracks M&A intentions, new service line launches, and growth plans by firm type and AUM band — updated each quarter as firms report their forward intentions.
→ Module R-11: Strategic Outlook
Compliance Intelligence · 6 Modules

What Is the Compliance Operator Market Actually Doing?

6 live data points tracking exam workloads, policy infrastructure, AI governance, and practice economics across ICCOs, embedded CCOs, TAMPs, and aggregators.

Who this is for: CCOs, ICCOs, compliance firms, TAMPs, and aggregators who need to understand what the compliance operator market looks like — on exam workloads, policy maturity, AI governance, and practice economics.

CCOs & ICCOs
Compliance Firms
TAMPs
Aggregators
CO-2 Regulatory Workload · ICCO · 12 Clients
Exam Frequency
3.2×
Per year avg
Open Items
4.8
vs. peer 2.1
Readiness Tier
Tier 2
of 4
Readiness Score vs. Peer Median (ICCO)
Exam Preparation
72%
AI Governance
28%
WSP Coverage
88%
Reg BI Maturity
54%
Marketing Review
79%
CO-5 Practice Economics Insight
At your current AUM level, embedded compliance becomes cost-effective at $1.4B AUM — down from $1.58B in 2024. You are currently below this threshold.

What Compliance Intelligence Answers

How often are compliance operators being examined — and what are they finding?
CO-2 tracks exam frequency, finding rates, and open item counts across compliance operators by model and scale. Updated live as firms contribute each quarter.
→ Module CO-2: Regulatory Workload
At what AUM does embedded compliance become cheaper than outsourcing — and has that number changed?
CO-5 maps the cost crossover point by firm type and tracks how it shifts over time. That threshold moved by $180M between 2023 and 2024. Omnex updates it live as market economics change.
→ Module CO-5: Practice Economics
How are compliance functions governing AI tools across the market — and is there a gap between confidence and reality?
CO-4 tracks AI governance framework maturity live across all contributing compliance operators. The data consistently shows a gap between what CCOs report and what actually exists in documented form.
→ Module CO-4: AI Risk Governance
How mature are WSPs across the compliance operator market — and what do regulators see as the standard?
CO-3 tracks WSP completeness scores, annual review rates, and documentation coverage across the compliance operator market — so you can see where the market standard actually sits.
→ Module CO-3: Policy Infrastructure
How are compliance operators handling Reg BI supervision across the market?
CO-6 tracks marketing review turnaround times, Reg BI documentation practices, and AI-assisted review adoption across all operator types. A consistent pattern of self-reported vs. actual maturity shows up across the market.
→ Module CO-6: Marketing & Reg BI
What does compliance team structure and cost-per-client look like across the operator market?
CO-1 and CO-5 together track headcount-per-client ratios, cost-per-client benchmarks, and role specialization rates — broken down by operator model and scale.
→ Modules CO-1 + CO-5
Product 3 · RIA Contact Data

Verified Emails & Contacts
for Every RIA in the Market.

Omnex scrapes SEC IAPD, FINRA BrokerCheck, ADV filings, and firm websites to maintain a live database of 40,000+ RIA firms — with verified CCO emails, principal contacts, AUM, firm model, headcount, and compliance signals. Updated monthly.

What Every Record Includes
✓Verified CCO & principal emails — <4% bounce rate, refreshed monthly
✓AUM band, headcount, firm model — embedded, outsourced, TAMP, aggregator, Ind. RIA
✓Open disclosures & compliance signals — sourced from FINRA BrokerCheck and SEC IAPD
✓State of registration, phone, website — cross-referenced across ADV filings
✓40,000+ firms · 120,000+ contacts — exportable, filterable, API-accessible on Enterprise
View Data Pricing
Who Buys the RIA Data
🎯 Compliance Tech & WealthTech Vendors
Target CCOs by AUM, model, and state with verified contacts and compliance signals. Replace manual prospecting with filtered, verified exports.
🏦 PE Acquirers & Aggregators
Build target lists filtered by AUM, succession signals, and open disclosures. Get principal contacts before the term sheet conversation starts.
📊 Researchers & Market Consultants
Pull structured RIA datasets by AUM, firm type, state, or compliance status — for research, analysis, or client deliverables.
Get Started

22 Live Modules.
Plus 40K+ RIA Contacts.

Intelligence across wealth management and compliance — plus verified RIA email and contact data. Contributing firms under $500M access core modules free.

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