Backed by
Outsourced CCO,
Reimagined with AI.
Luthor helps RIAs and broker-dealers meet compliance obligations with expert support and AI-powered workflows.
Speak to an Expert
Trusted by leading firms with a combined $6.8B+ in AUM
How It Works
Easier Compliance Starts Here
Understand how our platform helps you detect risks, streamline workflows, and stay ahead—effortlessly
Step 1
1
Kickoff with a Dedicated CCO Consultant
Step 2
2
Upload Your Policies, Filings & Past Exams
Step 3
3
Luthor builds your custom compliance calendar
Step 4
4
Real-time monitoring, review, and automated alerts
Our Value
Everything You Need to Stay Ahead of Compliance
Always-on fractional CCO
Former regulators, securities lawyers, and compliance pros with 40+ years’ combined experience run your program end-to-end.
AI workflows under the hood
Proprietary AI auto-drafts & files Form ADV updates, monitors marketing, flags risks, and maintains your compliance calendar—silently.
Exam-ready, every day
We run mock SEC exams, refresh policies, update disclosures, and keep evidence organized continuously so surprises disappear.
Policy Drafting
Tailored P&Ps, disclosures, and training materials
Filing & Documentation
ADV, U4/U5, Form CRS, and more – all automated
Lightweight, no-login system
We integrate with the tools you already use; if you never open our portal, that’s a win.
Why they choose us
Why Leading Teams Trust Us for Compliance
Real-time risk detection, AI-powered reviews, and expert support—built to scale with your business.
About Us
Built for Better Complience
Luthor is the first AI-powered fractional Chief Compliance Officer, blending human expertise with automated workflows to keep financial firms SEC/FINRA-ready.
It works silently behind the scenes—auto-filing, monitoring, and flagging risks—so you can focus on growth with complete peace of mind.
Data Protection
Trusted Security Standards
17a-4 Compliant
Meets SEC regulatory requirements for electronic recordkeeping, ensuring data integrity and retention.
WORM Compliant
Utilizes Write Once, Read Many storage to prevent data alteration or deletion.
SOC 2 Type II
In-progess
Currently undergoing audit to validate our controls for security, availability, and confidentiality.
Are you at risk of costly fines and legal penalties due to non-compliant marketing materials?
Could your fundraising campaign be suddenly shut down because of unnoticed compliance violations?
Are unclear or misleading marketing statements eroding investor trust and credibility?
Do you struggle to gather marketing records quickly when facing an audit or regulatory request?
Testimonial
Trusted by Compliance Experts and Marketing Teams
Don’t just take our word for it. See why compliance team trust Luthor
“Luthor has completely transformed how we manage compliance. The automated monitoring saves us countless hours and ensures we stay ahead of regulatory risks.”
Emily R
“Before Luthor, reviewing marketing materials was a slow and painful process. Now, we get instant insights and can confidently launch campaigns without delays.”
Olivia Bennett
“The level of visibility and control Luthor provides is unmatched. We no longer worry about undetected compliance issues across our platforms.”
James Mitchell
“Luthor has completely transformed how we manage compliance. The automated monitoring saves us countless hours and ensures we stay ahead of regulatory risks.”
Emily R
“Before Luthor, reviewing marketing materials was a slow and painful process. Now, we get instant insights and can confidently launch campaigns without delays.”
Olivia Bennett
“The level of visibility and control Luthor provides is unmatched. We no longer worry about undetected compliance issues across our platforms.”
James Mitchell
“Regulatory audits used to be a nightmare. With Luthor’s automated tracking and reporting, we have everything we need at our fingertips.”
Xavier Laser
“Luthor’s AI-powered insights have reduced our compliance review time by over 70%. It’s an essential tool for any regulated marketing team.”
James T
“We used to struggle with fragmented oversight across different marketing channels. Luthor brings everything into one platform, making compliance seamless.”
Michael L
“Regulatory audits used to be a nightmare. With Luthor’s automated tracking and reporting, we have everything we need at our fingertips.”
Xavier Laser
“Luthor’s AI-powered insights have reduced our compliance review time by over 70%. It’s an essential tool for any regulated marketing team.”
James T
“We used to struggle with fragmented oversight across different marketing channels. Luthor brings everything into one platform, making compliance seamless.”
Michael L
