Compliance

By joining The Investment Advisor Alliance you outsource both administrative and compliance work at a reasonable rate. The IAA stays abreast of all regulatory requirements and interpretations so that we can comply with all regulations. Further, we communicate new findings in a timely manner so you can make any adjustments needed in your daily activities.

Through our electronic systems, you submit all communications for review; upon approval the document is filed in the document filing system where only top level administrators have the ability to modify the files. In addition to submission storage of documents normally in paper form, The Investment Advisor Alliance records, retains, and reviews all email communications as required. Professionals are available to assist in setting up the proper client configurations. If you have any further questions about compliance and what is required please call us at 201-503-1818.