Support and Protect Each Practice

The Compliance team supports and protects each practice with ever-changing broker/dealer, RIA, and regulatory body requirements. Through dedicated analyst support, our team provides surveillance and guidance to help ensure your practice is able to thrive; in turn, providing you with more time to service your clients.
Proactive Surveillance

Proactive Surveillance (ProSurv) helps advisors and staff communicate effectively with Independent Advisor Alliance’s compliance team surrounding inquiries related to transactions, asset allocation, etc.

Dedicated Analyst

When you partner with IAA, your branch office will have a dedicated analyst to help guide you and answer your questions in an efficient and timely manner. We work with you as a team so you can serve your clients in a legal and ethical way.

Compliance Best Practices

On the first Wednesday of each month, a Compliance Best Practices webinar is presented. Advisors are required to either attend the live call or review the presentation slides, and then attest to having done so. Those who have a part in preparing monthly compliance files will also be required to attend a 1-time training on the topic.

Simplified Document Submission

Independent Advisor Alliance uses Box Relay to allow our partners to efficiently submit documentation to IAA for review, signature, and filing. It also alleviates any confusion in regards to document routing, making the process simpler.