Overview

Compliance is a requirement of various federal and state laws and is essential to protecting your clients and you; however, with IAA compliance and supervision is handled by us. We review and retain all communication, handle all filings, and accommodate the regulatory audits. All you have to do is properly submit communications and continue to honor your fiduciary duty and high ethical standard. This will free valuable hours that you can now spend with clients and growing your business.

Another aspect of the typical investment advisor firm is the time lost handling non-core activities. According to a 2001 Cerulli survey, independent reps spend about 40% of their time on these activities which include reviewing account applications, communicating with the custodians, tracking transfers, and office maintenance. With The Investment Advisor Alliance much of this is managed for you, leaving you with your office maintenance and little else.

Taken all together we believe this leads to more than merely a compliance solution, but a practice management solution. By using the tools in the AdvisorWeb interface you save time and money because everything is at your fingertips. You can access client applications and send files electronically, pay less postage and make fewer trips to the post office.