Skip to main content
2025 Compliance Conference

2025 Investment Adviser Compliance Conference

Thank You to Our 2025 Exhibitors

Interested in becoming an exhibitor?

Use IAA Access to view and reserve a range of opportunities to connect with and engage investment advisers at the 2025 Compliance Conference and beyond.

If you have questions, please contact Alex Ioannidis.

ACA

ACA Group is a leading provider of governance, risk, and compliance (GRC) advisory services and technology solutions – as a strategic partner in serving and advancing the investment adviser industry.

Adviser Compliance Consulting is a compliance consulting firm that provides proactive compliance solutions, specializing in outsourced CCO and deputy CCO support, to registered investment advisers, hedge funds, private funds, investment companies, private equity, CFTC-registered advisers and more. They have extensive experience in the global asset management industry, which includes more than 100 years working with investment companies and investment advisers in the regulatory compliance space.

AQ Metrics is a global provider of award-winning regulatory and compliance solutions. Its cloud-based platform seamlessly integrates compliance, risk, and data management, streamlining reporting and reducing operational risk. By simplifying regulatory processes, AQMetrics helps financial institutions meet the increasingly complex and evolving regulatory demands efficiently and accurately. Trusted by clients worldwide, the platform ensures compliance in a rapidly changing regulatory landscape. Headquartered in Ireland, AQMetrics also operates in major financial capitals, including New York, London, Luxembourg and Singapore, and employs 50 people as of August 2024.

Broadridge, a global fintech with over $4 billion in revenue now part of the S&P 500 Index, provides communications, technology, data and analytics. We help drive business transformation for our clients with solutions for enriching client engagement, navigating risk, optimizing efficiency and generating revenue growth.

Charles Schwab: Employee personal trade monitoring made simple. Effective personal trade monitoring requires powerful technology and strong support—and with Schwab Designated Brokerage Services, that’s exactly what you get.

As a global market leader in regulatory compliance solutions, COMPLY combines the power of regulatory technology, services, and education to empower Chief Compliance Officers and compliance professionals to easily navigate the regulatory landscape. COMPLY enables firms to scale their growth while remaining vigilant in their compliance efforts by providing solutions designed to manage the burden of compliance tasks. Our deep bench of industry expertise supports more than 7,000 clients, including private funds, registered investment advisers, and other financial service participants.

Confluence is a global leader in enterprise data and software solutions for regulatory, analytics, and investor communications. Our best-of-breed solutions make it easy and fast to create, share, and operationalize mission-critical reporting and actionable insights essential to the investment management industry. Trusted for over 30 years by the largest asset service providers, asset managers, asset owners, and investment consultants worldwide, our global team of regulatory and analytics experts delivers forward-looking innovations and market-leading solutions, adding efficiency, speed, and accuracy to everything we do. Headquartered in Pittsburgh, PA, with ~700+ employees across North America, the United Kingdom, Europe, South Africa, and Australia, Confluence services over 1,000 clients in more than 40 countries.

CyberSecureRIA is a cybersecurity firm that works with RIAs. We provide cybersecurity, full IT support, and cybersecurity compliance services. CyberSecureRIA is the exclusive cybersecurity partner for Smartria’s Cybersecurity Focus offering. We are one of the only firms that focuses on RIAs, has 100% of technical staff in the United States and is Apple Certified.

For over 40 years, DFP Partners has been a committed partner in financial accounting and compliance to Broker-Dealers and Registered Investment Advisers. We provide a range of services covering everything from outsourced FinOp and CCO roles to AML testing and cybersecurity compliance consulting.

Egnyte is the secure multi-cloud platform for content security and governance that enables organizations to better protect and collaborate on their most valuable content. Established in 2008, Egnyte has democratized cloud content security for more than 22,000+ organizations, helping customers improve data security, maintain compliance, prevent and detect ransomware threats, and boost employee productivity on any app, any cloud, anywhere.

FINRA Dispute Resolution Services offers mediation to conflicting parties as an alternative to arbitration. Mediation provides flexibility, a level playing field, and time and cost savings where disputants voluntarily work with a trained, neutral mediator. Both parties in a dispute must agree to mediation, making it accessible to many security related matters and not only for the brokerage firms FINRA regulates.

Greenboard lets financial firms manage employee tasks, archiving, content review, policies, calendars, document processing, training, and more—all in one AI-native, cloud-based operating system.

Hadrius is the trusted AI-powered compliance solution built for financial services firms that demand efficiency, accuracy, and regulatory confidence. Designed to eliminate inefficiencies and reduce risk, Hadrius empowers compliance teams with cutting-edge automation, keeping them ahead of evolving SEC and FINRA regulations. Trusted to oversee $1.2 trillion+ AUM, our platform seamlessly integrates into your existing workflows, automating tedious compliance tasks and reducing manual workloads by 70% or more. With Hadrius, compliance teams can focus on strategy and oversight—not spreadsheets and endless reviews.

In a landscape of growing risks, KPMG helps clients earn stakeholder trust, fostering responsible growth and innovation. We offer comprehensive services in regulatory compliance, forensic analysis, risk modeling, and actuarial transformation, enhancing performance and integrity in critical areas like consumer protection and anti-money laundering.

As the leading independent provider of risk and financial advisory solutions, Kroll leverages our unique insights, data and technology to help clients stay ahead of complex demands. Kroll’s team of more than 6,500 professionals worldwide continues the firm’s nearly 100-year history of trusted expertise spanning risk, governance, transactions and valuation. Our advanced solutions and intelligence provide clients the foresight they need to create an enduring competitive advantage. Learn more at Kroll.com.

MCO (MyComplianceOffice) provides integrated compliance management software that enables global firms to proactively manage compliance obligations and the regulated activities of employees, the company and third-party relationships.

With 20+ products on a singular system, our powerful platform helps 1300+ client companies across 105+ countries to move away from manual processes and towards more strategic compliance. Available as a unified suite or à la carte, our easy to use and extensible SaaS solutions get firms up and running quickly and affordably.

Quest CE helps financial service organizations manage their compliance operations by offering firm training programs, disclosure tracking services and branch audit solutions. At Quest CE, our goal is simple: we want to be your one-stop-shop for compliance technology, training and support. We’re proud to work with some of the nation’s most prestigious financial institutions, as well as their 600,000 end users – a number that continues to grow daily.

Red Oak Compliance Solutions is a leading provider of intelligent compliance software, offering a range of AI-powered solutions designed to help firms of all sizes navigate the increasingly complex regulatory landscape. Our solutions offer risk minimization, cost reduction, and process optimization capabilities. Our suite of 17(a)-4/WORM compliant features are designed to evolve in step with the ever-changing regulatory landscape, ensuring that it easily scales and our clients always stay ahead of the curve.

Renaissance Regulatory Services, Inc. provides comprehensive regulatory, compliance, and operational consulting and support services to broker-dealers, investment advisers, private funds, investment companies, and banks. We specialize in SEC, FINRA and State compliance examinations, written supervisory procedures, internal controls testing, regulatory reporting, and registration services. RRS has also served as an independent consultant on a wide range of regulatory undertakings for investment advisers, broker-dealers and other financial institutions as well as providing litigation support in regulatory matters. Our services are customized to fit each firm’s unique operations.

Saifr® enables financial services companies to generate compliant content up to 10x faster while reducing regulatory and reputational risks. Saifr’s AI “understands” content (text/images/audio/video), highlights potential compliance risks, explains why risks were flagged, proposes alternative language, and suggests relevant disclosures. Saifr’s robust NLP models are possible via access to data from millions of documents representing the work of thousands of marketing and compliance experts in various lines of business. Saifr’s models can be accessed via SaifrReview® or SaifrScan® Add ins.

Salus GRC offers comprehensive compliance and cybersecurity solutions to registered investment advisers, NFA members and broker-dealers. We help manage compliance programs, provide ongoing services, examination preparation, remediation, compliance testing, filings, written procedures and compliance projects. At Salus GRC you will receive personalized service, from experienced professionals. We have built Salus GRC to attract world-class professionals with a focus on providing the highest level of service, using technology-enabled processes.

SS&C Advent, a business unit of SS&C, is helping 4,300+ investment firms in more than 50 countries grow their business, minimize risk, and thrive. The Advent Investment Suite (AIS) specifically is built to support investment managers. AIS offers customized and complex portfolio management at scale, rebalancing, trading, compliance, multi-currency accounting, reporting, and performance.

Stradley Ronon’s nationally recognized investment management group counsels investment advisers, from small fast-growing startups to large asset managers, on legal, compliance and regulatory matters arising under the Investment Advisers Act of 1940, the Commodity Exchange Act, federal and state privacy laws, ERISA, and other applicable laws and regulations. We also provide advice on corporate, tax, employment, mergers and acquisitions, and other related matters. In addition, we counsel clients on exam responses, internal investigations, and enforcement and litigation issues.

Wolf & Company has over 100 years of experience and offers a comprehensive suite of assurance, regulatory compliance, and tax services to registered investment advisers, exempt reporting advisers, family offices, and trust companies. Whether an emerging manager or an established firm with a lengthy track record, our expertise and understanding of your industry will enable us to provide you with relevant insights and practical solutions to issues critical to your operations. Our commitment to quality, along with our registration with and inspection by the Public Company Accounting Oversight Board (PCAOB), instills confidence in both investors and regulators.

You are now leaving Investment Adviser Association

The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.

You will be redirected to

Click the link above to continue or CANCEL