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Compliance Testing Survey

Summary results of hundreds of SEC-registered advisers who responded to our 2018 survey provide insights for compliance benchmarking and best practices.

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2020 Evolution Revolution

This 20th annual report provides and overview of the investment advisory industry and its emerging trends.

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IAA Webinar Series

IAA webinars address important legal, regulatory, and compliance topics for investment advisers.

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Compliance Conference

Compliance Conference

The IAA’s annual Investment Adviser Compliance Conference provides investment advisers with the most current information available on the changing regulatory landscape.

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Briefing Webinars

Briefing webinars inform IAA members about the latest regulatory developments affecting SEC-registered investment advisers.

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IAA Today

Our online, members-only newsletter is regulatory updated with content on business, legal, regulatory, compliance and advocacy issues of special interest to investment advisers.

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Service Provider Directory

The IAA's directory of service providers, enables IAA members to search for firms in more than 20 categories. This extensive list includes both IAA Associate Members and non-members.

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IAA Member Directory

The IAA's member firms collectively manage $25 trillion for a variety of individual and institutional clients.

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Compliance Webinars

IAA webinars address hot topics for advisory professionals. See the library of recordings that are now available.

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Online Communities

Connect with like-minded advisory professionals in the IAA membership to exchange ideas and share experiences.

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SEC-Registered Firms

The IAA exclusively serves SEC-registered investment advisory firms and their employees with a wide range of compliance, education, and advocacy resources.

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What Members Say

"The IAA is our CCO's first stop for information on compliance matters through its online material and access to its legal team."

— CEO, $1.2B AUM

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IAA Year in Review

The 2018 Year in Review provides an overview of the Association and its accomplishment during the year.

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Standards of Practice

Registered investment advisers abide by principles of fiduciary duty that put the client first. These principles are incorporated in the Standards of Practice endorsed by IAA members.

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