The Investment Advisor Alliance, before all else, is a family business with years of securities industry experience. We are proud to be a small company that provides personalized, friendly, timely, and professional service. Our growth is based on working with advisors driven to succeed, and as such we have direct interest in your business.
We work solely with advisors dedicated to their client's prosperity and well-being. We believe that partnering with The Investment Advisor Alliance is beneficial to you and your clients. IAA helps to protect you, your business, and your clients.
Compliance in our current regulatory scheme is an organization wide effort. Each individual has a responsibility to act in a compliant, honest, and straightforward manner. Our service model is designed to incorporate compliant activity in each event undertaken.
Another aspect of the typical investment advisor firm is the time lost handling non-core activities. According to a 2001 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. These services, if you were to hire a single multi-talented individual to work onsite could cost you $60,000 or more per year in salary, taxes, bonuses, and benefits.
Too often independent advisors do not want to hire an individual as described above because it can be cost prohibitive or that, in all likelihood, they would have to hire and manage several individuals to administer to the array of needs running an advisory practice entails. Another option is to become proficient at everything yourself, again detracting from your business' purpose. Lost, confused, and frustrated an advisor may find themselves forced into affiliating with an independent broker against the advisor's wishes. IAA is your solution, an independent firm that fills the gap in the industry and can save you thousands of dollars every year.