The Direct Service Portal brings together email functionality, online filing, and the ability to send files to IAA for review and submission. Our Web IPS is easy to understand and simplifies creation of an Investment Policy Statement to define future expectations of clients. Direct links to our service providers are also included in DSP.
Use of the Direct Service Portal is the key to the IAA compliance process. It facilitates communications between advisors and the home office, as well as review and safekeeping of client documents. Advisors may also opt for additional filing storage and client access vaults, all integrated into DSP.
TAP advisors have access to the same platform functionality with sections customized with their forms, procedures manual, branded Web IPS, and portfolio reporting is included in the platform's pricing. IAA's DSP becomes your virtual office, accessible from wherever you have an internet connection.
Portfolio and performance reporting has become a standard deliverable for advisors to provide clients. The Investment Advisor Alliance offers a low-cost reporting option that is easy to use, up-to-date, accurate, and an administered solution. Once again IAA makes non-revenue producing activities take less of your time. Reporting is an additional charge in the Supervised Independence Program, but included in the TAP pricing.
See screen shots of IAA's Direct Service Portal.
DSP is a secure system administered by IAA employees. Data is stored on mirrored
arrays, backed up to an offsite location several times a day. The data centers are protected by managed firewalls, redundant network connections, camera surveillance, biometric security, and diesel backup generators to secure important client data and keep it accessible to you. The data center is SAS 70 Type II compliant. SAS 70 Type II provides assurance that the control objectives and control activities examined by an independent accounting and auditing firm. The audit report enables organizations to demonstrate that they have adequate controls and safeguards when they host or process data belonging to their customers. SAS 70 is not a certificate, but an opinion on the nature of those controls.
In the event of a disaster at the data centers, advisors will be provided alternate methods of communication with IAA.
The trading systems are the property of their respective custodians; thus are operated and supported by their personnel and subject to the brokerage's reliability and business continuity. You are given direct access to the custodian's trading interface to enter trades on behalf of your clients.