IA Compliance & Consulting LLC

“Working with you to meet your investment advisor compliance needs.”

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IA Compliance & Consulting specializes in regulatory and compliance services for investment advisors.

Our goal is to provide superior solutions to meet the evolving regulatory compliance needs of our clients. IA Compliance and Consulting identifies the unique registration requirements for each client, provides insight into the changing regulatory environment, and delivers practical solutions to the firm on a timely, responsive basis.

We specialize in registration on the SEC and State levels for advisers on the managed account platform, Web IARD/CRD Administration, Form ADV documents and related schedules, registration and licensing of representatives, Compliance Manuals, Business Continuity Plans, Code of Ethics, Form 13F filings, operational issues, compliance exams, compliance training, recordkeeping issues and general consulting.

We provide the following: Investment Advisor Registration, Web IARD/CRD Administration, Compliance Manuals, Business Continuity Plans, Form ADV documents, Code of Ethics, State Registration Applications/Notice Filings, Compliance Exams/Reviews, Compliance Training, Regulatory Responses, Advertising Reviews, and General Compliance Consulting.

 

                                                         

 

 

Information on Final Rules:
 
Please visit 

http://www.sec.gov/rules/final.shtml 

 


"Mission Statement"

IA Compliance & Consulting LLC strives to provide superior customer service to our clients. We will assist our clients in meeting and exceeding their full potential; helping them to make changes and improvements to help support the company’s compliance needs.

IA Compliance & Consulting will adhere to the highest professional standards. We will provide personalized, practical and affordable solutions and will play an essential role in problem solving, implementation, and knowledge building. We build relationships on respect, cooperation and trust.  Our goal is to establish a life-long relationship with each valued client.    

Contact us:

832-559-8171 

Karen@iacomplianceandconsulting.com
Suzette@iacomplianceandconsulting.com