IA Compliance & Consulting LLC

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

IACC

 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. 

IA Compliance & Consulting LLC

 Telephone:  832-559-8171

 

Suzette Surman:
 

suzette@iacomplianceandconsulting.com
 

Karen Haggerty:
 

karen@iacomplianceandconsulting.com