19 Sponsor

2019 Leadership Conference

Leadership Conference Sponsors & Exhibitors

Opening Reception Sponsor

Fidelity Clearing & Custody Solutions® provides a comprehensive clearing and custody platform, brokerage services, trading capabilities and practice management and consulting to registered investment advisors (RIAs), including strategic acquirers and professional asset managers, as well as retirement recordkeepers, broker-dealer firms, banks, and family offices. The goal of Fidelity Clearing & Custody Solutions® is to help clients ensure that they are always future-ready by providing knowledgeable consulting, exceptional people and transformative technology. https://clearingcustody.fidelity.com


For more than 35 years, Berkshire Global Advisors has been a leading provider of trusted M&A and strategic advice to the investment management and securities industries. As a global specialist investment bank, our unparalleled market knowledge and relationships enable us to deliver exceptional results for our clients. For more information visit www.berkshireglobal.com.


CAPTRUST Financial Advisors is an independent, employee-owned firm that provides investment advisory services to retirement plan fiduciaries, endowments and foundations, and comprehensive wealth planning services to executives and high-net-worth individuals. Headquartered in Raleigh, North Carolina, the firm represents more than $300 billion in client assets from its 40+ locations across the U.S. So far in 2019, CAPTRUST has announced three transactions, continuing the firm’s steady growth in both the high-net-worth and institutional advisory space that has made it one of the leading RIA acquirers in an extremely competitive market over the past several years.


Hardin Compliance Consulting LLC, a full-service compliance consulting firm based in Pittsburgh, Pa., offering expert regulatory compliance solutions and advice to investment advisers, broker-dealers, private equity and hedge fund managers. We offer our clients a customized compliance program using the Compliance Navigator®, a comprehensive, web-based system, using leading-edge technology to track and document testing and monitoring. In addition to acting as an out-sourced compliance team, we offer a range of services, including mock SEC exams, compliance program reviews, assistance in RIA and BD registration, and regulatory exam support.  For more information, please visit https://www.hardincompliance.com.

InvestCloudHeadquartered in Los Angeles with a global presence, InvestCloud develops first-class, financial digital solutions, pre-integrated into the cloud. By empowering investors and managers with a single version of the integrated truth through its unique digital platform, InvestCloud creates beautifully designed client experiences and intuitive operations solutions using an ever-expanding library of digital modular apps. The result? Powerful products for individual investors and institutions alike, assembled on-demand to meet clients’ specific needs. For more information, visit www.investcloud.com.

Kenmark LogoKemark Financial Services, Inc. is a financial services company that has been at the forefront of the Signature Guarantee process for over twenty five years. The company has served as the Administrator of the Securities Transfer Agents Medallion Program (STAMP) and the Stock Exchanges Medallion Program (SEMP) Programs since their inception in 1992. Kemark Financial Services, Inc. is the operational and logistical resource for Medallion Signature Guarantee Program participants, Transfer Agents, and other Securities processing firms. Registered Investment Advisors are now enrolling in STAMP. For more information, including program applications, please visit Kemark.com.

QuoteMediaQuoteMedia is a leading provider of market data and related solutions to investment advisers, wealth managers, brokerages, public corporations, media and financial services companies. We offer streaming real-time quotes, market research, news, charting, option chains, filings, financials, insider reports, earnings, indices, portfolio management and more. QuoteMedia’s clientele includes the Nasdaq, TSX, and CSE Stock Exchanges, FIS, Broadridge, JPMorgan Chase, JitneyTrade, Hilltop Securities, HD Vest, Stockhouse, Zacks, Boeing, Bombardier, Business Wire, PR Newswire, FolioFN, Regal Securities, ChoiceTrade, Cetera, Industrial Alliance, Ally Invest, Inc., Suncor, Firstrade, Motif Investing, Equisolve, Mergent and others. https://www.quotemedia.com/

Red Oak Compliance SoftwareRed Oak's software is the advertising compliance review software of choice in the financial services industry with clients having over $14 trillion in assets under management. Clients range from single State Advisers to many of the world’s largest asset managers. Discover why the biggest firms in the industry rely on Red Oak for faster approvals, books and records compliance, and improved efficiency. https://www.redoakcompliance.com/

Renaissance Regulatory ServicesRenaissance Regulatory Services provides compliance consulting & support services to investment advisers, private funds, investment companies and broker-dealers. RRS specializes in compliance examinations, supervisory procedures, registration services, financial book-keeping, and ongoing compliance support services. We customize our services to fit your firm’s operations. RRS’ staff consists of former regulators and compliance professionals who have extensive experience with federal, SRO and state rules and regulations.www.RRSCompliance.com

Advent, a business unit of SS&C, is helping over 4,300 investment firms in more than 50 countries – from established global institutions to small start-up practices – to grow their business and thrive. Delivering unparalleled precision and ahead-of-the-curve solutions for more than 30 years, Advent works with clients to minimize their risk and help them shape the future of investment management. For more information, visit www.advent.com.

Sound Income Strategies is a Registered Investment Advisory firm specializing in the active management of income-generating portfolios. With our years of industry experience, we focus on maximizing the value of your income portfolio and help you build a retirement plan that delivers dependable income, growth potential, and, most importantly, defense against damaging losses. As a Registered Investment Advisory firm, we honor our fiduciary responsibility. As spelled out in the U.S. Investment Advisers Act of 1940, our goal is to always act and serve in the best interest of our clients. https://soundincomestrategies.com

Telemet America, Inc. is a market data, portfolio analytics and investment research provider. Our desktop solution, Telemet Orion, is employed by some of the most well regarded financial institutions in the US. We supply our customers with vital market intelligence incorporating data, news, analytics and multimedia reports in one single platform. Telemet’s integrated investment platform improves workflow and enhances revenue. Investment professionals have relied on Telemet as major source of market data for over 30 years. Telemet Orion is well known in the business as an exceptional value and easy to use. For more information, visit www.taquote.com.

Interested in Participating?

The IAA welcomes exhibitors and sponsors for this event. Opportunities are limited and sell out quickly. For more information, contact IAA Marketing & Partnerships Manager Alex Ioannidis at alex.ioannidis@investmentadviser.org or at (202) 293-4222.