Summary results of hundreds of SEC-registered advisers who responded to our 2018 survey provide insights for compliance benchmarking and best practices.
This 20th annual report provides and overview of the investment advisory industry and its emerging trends.
IAA webinars address important legal, regulatory, and compliance topics for investment advisers.
View for the C-Suite brings together IA executives to explore industry trends, exchange ideas, and develop valued relationships with peers.
Briefing webinars inform IAA members about the latest regulatory developments affecting SEC-registered investment advisers.
Our online, members-only newsletter is regulatory updated with content on business, legal, regulatory, compliance and advocacy issues of special interest to investment advisers.
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.
The IAA's member firms collectively manage $25 trillion for a variety of individual and institutional clients.
IAA webinars address hot topics for advisory professionals. See the library of recordings that are now available.
Connect with like-minded advisory professionals in the IAA membership to exchange ideas and share experiences.
The IAA exclusively serves fiduciary investment adviser firms and their employees with a wide range of compliance, education, and advocacy resources.
"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
The 2018 Year in Review provides an overview of the Association and its accomplishment during the year.
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.
This section includes comment letters, statements, and other IAA correspondence relating to major issues affecting the investment management industry.
October 5, 2021 | PDF
House Financial Services Committee
OIA Improvement Legislation
October 1, 2021 | PDF
Investment Adviser Digital Engagement Practices and the Use of Technology to Develop and Provide Investment Advice
September 23, 2021 | PDF
Exchange Act Rule 15c2-11 and the Fixed Income Markets
Requesting extension on compliance with Fiduciary Exemption
July 29, 2021 | PDF
June 11, 2021 | PDF
May 17, 2021 | PDF
Welcome letter to SEC Chair Gary Gensler highlighting policy issues, including standards of conduct/fiduciary duty, sustainable investing, DEI, e-delivery, proxy voting, custody, and the pay-to-play rule
US House Financial Services Committee
Diversity and Inclusion Data Accountability and Transparency Act
Hart-Scott-Rodino Proposal on Aggregation
Delegation & Sustainability
ESG Consultation Paper
Proxy Voting Proposal
Requesting extension of comment period on proxy proposal
Initial Margin for Uncleared Swaps
Exemption for Offshore Pools
Initial Margin for Uncleared Swaps
Good Faith Determinations of Fair Value
IAA Today (online newsletter)
Active Managers Council
IAA Policy Issues & Advocacy
Diversity, Equity & Inclusion Resources & Guidebook
2021 Investment Adviser Industry Snaphsot
New Marketing Rule Online Resources
Coronavirus Response Resources
Find out how you can join the IAA and start accessing our full range of advocacy, compliance, and educational resources.