Our goal is to make your business run as smoothly and efficiently as possible. The Investment Advisor Alliance provides advisors quick turnaround of review submissions with clear and concise communication in reply. Documents and requests, after review for completeness and accuracy, are sent to the appropriate custodian in a timely manner. This process helps reduce 'not in good order' requests and speed the time to completion. Also, we encourage advisors to ask questions when they are in doubt with anything that may be addressed by securities laws. It is best to address questionable situations prior to taking any action which may jeopardize your good standing with us or regulators.
Investment Advisor Alliance associates act as intermediaries between you and the custodian, freeing you to continue to furnish advice, generate new business, and manage your client relationships. We understand advisors' needs and what you expect from the custodians and service providers because we are advisors. The IAA has chosen industry leaders to provide the highest level of service to advisors and clients.
We strive to provide timely responses to advisor requests with many items being handled and resolved the same day. More complex issues in the Supervised Independence Program such as compliance approvals for advertising and marketing or interpretations of rules, regulations, and policies are generally communicated within forty-eight hours.