The Investment Advisor Alliance has forged relationships with leading custodians to hold client funds and provide execution services.
Custodians are generally clearing broker-dealers registered with the SEC and FINRA or one or more national exchanges. Introducing brokers may also be custodians by utilizing the clearing services of another broker.
Schwab Advisor Services, TradePMR and Fidelity Institutional Wealth Services provide the execution services, technology, tools, and support staff through their organization or contractual relationships with clearing brokers to safeguard client assets. The Investment Advisor Alliance is not affiliated with any custodian.
As a Registered Investment Advisor, IAA never takes custody of client funds, meaning we do not accept money or securities for deposit into managed accounts and cannot distribute funds to third parties without client interaction. Clients will receive statements and confirms directly from the custodian. This conjunction of service providers to the client, IAA and an unaffiliated custodian, provide for the best security and protection of client interests.
Schwab, TradePMR or Fidelity, or any subsidiaries, are not affiliated with The Investment Advisor Alliance.