Summary results of hundreds of SEC-registered advisers who responded to our 2018 survey provide insights for compliance benchmarking and best practices.
This 19th 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.
A comprehensive two-day program packed with the most current information on the changing regulatory landscape.
Briefing webinars inform IAA members about the latest regulatory developments affecting SEC-registered investment advisers.
The IAA's monthly newsletter is packed with articles on current legal, regulatory and compliance matters that are 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 more than 600 member firms collectively manage $19 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 SEC-registered investment advisory 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.
The IAA, together with the Certified Financial Planner Board of Standards, Inc., the Financial Planning Association, the National Association of Personal Financial Advisors, and TD Ameritrade Institutional, commissioned the BCG study to determine the costs of the options outlined in the SEC’s Dodd-Frank Act Section 914 report on increasing the frequency of investment adviser examinations.
The BCG report analyzes the costs of: 1) increasing the level of SEC examinations; 2) set-up and operation of an investment adviser SRO by the Financial Industry Regulatory Authority (FINRA); and 3) set-up and operation of an entirely new SRO for advisers. BCG’s economic analysis was based on the assumption that advisers would be examined by the SEC or SRO on average once every four years. If you have any questions about the above, please contact IAA Vice President for Government Relations Neil Simon at neil.simon@investmentadviser.org.
The Asset Management Operations and Compensation Survey is conducted by the Advent Users Group (AUG), an independent non-profit organization comprised of investment professionals. The IAA co-sponsors the survey, viewing it as a potential tool that IAA members could use to evaluate firm operational and compensation practices. The survey and its results focus on firm attributes, technology and operations, and human capital. Survey highlights are available below; full results are provided for survey participants. For more information, please contact IAA VP, Communications and Marketing, Herb Perone, at (202) 293-4222 or herb.perone@investmentadviser.org.
At the end of 2005 and 2010, the Investment Adviser Association conducted a membership satisfaction survey. IAA members may download the report for a full description of the Survey's methodology, findings, and data.
2019 Evolution Revolution Report
IAA Comment Letter to SEC on FINRA Rule 5130, initial public offerings
IAA Comment Letter to SEC on Pay-to-Play Rule and Smaller Advisers
IAA and ICI Global Joint Letter to the Australian Securities & Investments Commission (ASIC) on Foreign financial service providers (FFSPs)
Find out how you can join the more than 600 SEC-registered firms that are members of the IAA and start accessing our full range of advocacy, compliance and educational resources.