SAFEGUARD YOUR PRACTICE
Compliance
Proactive Surveillance
Proactive Surveillance (ProSurv) helps you and your staff communicate effectively with IAA’s compliance team surrounding inquiries related to transactions, asset allocation, and more.
Compliance Best Practices
IAA’s Chief Compliance Officer, Jessica Sexton, presents a webinar each month to discuss and educate advisors on regulatory updates and changes.
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 timely manner. We help you serve your clients in a legal and ethical way.
Simplified Document Submission
Independent Advisor Alliance utilizes Box Relay to allow our partners to efficiently submit documentation to IAA for review, signature, and filing – giving back time to focus on other aspects of your business.
A team that has your back.
![Jessica Sexton](https://independentadvisoralliance.com/wp-content/uploads/2021/10/IAA-Team_Jessica-Sexton.jpg)
Jessica Sexton
Chief Compliance Officer
![Chris Fallin](https://independentadvisoralliance.com/wp-content/uploads/2021/10/IAA-Team_Chris-Fallin.jpg)
Chris Fallin
Senior Compliance Analyst
![Derek Motto](https://independentadvisoralliance.com/wp-content/uploads/2022/03/Derek-Motto_2022.png)
Derek Motto
Director of Surveillance Technology
![John Kamel](https://independentadvisoralliance.com/wp-content/uploads/2023/07/John-Kamel_2023.png)
John Kamel
Senior Compliance Analyst
![Nate Chambers](https://independentadvisoralliance.com/wp-content/uploads/2021/10/IAA-Team_Nate-Chambers.jpg)
Nate Chambers
Senior Compliance Analyst
![Pat Russo](https://independentadvisoralliance.com/wp-content/uploads/2022/07/Pat-Russo_2021.png)