We manage compliance so you can manage your business.
New RIA
If you are about to register with the SEC, the regulatory landscape can be overwhelming. IACC will simplify the process by helping you set up your business and navigate through SEC registration requirements. When you choose the New RIA Solution, IACC will:
Provide new RIA business planning and start-up counseling
Assist with FINRA Entitlement Set-Up
Draft and file SEC registration documents: Form ADV Part 1, 2A, and 2B
Create a tailored compliance program and manual
Provide operational consulting and ongoing support for any additional registration requirements as they arise
Train staff on IARD
Assist with Form ADV amendments and ongoing registration requirements