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.
The IAA’s annual Investment Adviser Compliance Conference provides investment advisers with the most current information available on the changing regulatory landscape.
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 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.
We encourage all members to participate in our Committees, Working Groups, and Forums. They – and their associated online communities – provide powerful venues for members with shared interests to discuss common challenges and form relationships with their professional peers. Just as important, the IAA’s policies and advocacy efforts are developed in partnership with its members, working through the groups detailed on this page – and member involvement is crucial to achieving the IAA’s mission.
To join an IAA Committee, Working Group or Forum – or to join an online community on the IAA Exchange – please contact email@example.com or call (202) 293-4222.
Committee Chair: Peter Tuz, Chase Investment Counsel CorporationCommittee Vice Chair: Laura Drynan, Bourgeon Capital Management LLC
The Government Relations Committee advises the IAA regarding legislative advocacy before the U.S. Congress, including both lobbying by the IAA and related grassroots advocacy by IAA members. The Committee also provides input regarding legislative issues analysis and prioritization. < more >
Committee Chair: Jeff Schweon, Williams, Jones & Associates, LLC Committee Vice Chair: Catherine C. Halberstadt, Osterweis Capital Management
The Business Practices Committee provides advice and support to the IAA in developing resources — outside the compliance/legal domain — to assist members in the operation and expansion of their businesses, and also serves as a forum for members to discuss business and operational matters. < more >
Committee Chair: Heidi Hardin, MFS Investment ManagementCommittee Vice Chair: Carlotta King, Diamond Hill Capital Management
The ESG Committee helps guide the IAA’s advocacy efforts on sustainable, or ESG, investing, and develop industry positions on ESG-related regulatory proposals affecting investment advisers. The Committee also provides a forum for member consideration of ESG-related policy, regulatory, and compliance issues. < more >
Committee Chair: Rana Wright, Harris Associates Committee Vice Chair: Kevin Ehrlich, Western Asset Management Company
The Legal and Regulatory Committee assists IAA staff in developing industry positions on U.S. regulatory proposals affecting investment advisers and serves as a forum for IAA members to monitor and discuss regulatory developments, advocacy efforts, new rules, and other compliance-related issues. < more >
Committee Chair: Carla Vogel, Sycamore Partners Committee Vice Chair: Stephen Swanson, Invesco
The Private Equity Fund Advisers Committee provides a forum for IAA members — primarily legal and compliance personnel who manage private equity funds or private equity funds of funds — to discuss legal, regulatory, compliance, and operational issues, as well as industry best practices. < more >
Committee Chair: Christine Morgan, T. Rowe Price Associates, Inc. Committee Vice Chair: Tracy Soehle, Affiliated Managers Group, Inc.
The International Committee focuses on regulatory developments affecting investment advisers and private funds around the world and plays an important role in supporting the IAA’s international regulatory advocacy efforts by providing input on IAA comment letters to non-U.S. governmental bodies. < more >
Audit Directors Working Group
Business Practices Committee
Custody Working Group
Cybersecurity/Data Privacy Compliance Forum
Digital Adviser Committee
Diversity, Equity & Inclusion Working Group
Form CRS Implementation Group
FSOC/Prudential Regulation Working Group
GIPS Compliance Forum
Government Relations Committee
Human Resources Working Group
Legal and Regulatory Committee
Marketing Implementation Group
Private Equity Fund Advisers Committee
Smaller Advisers Compliance Forum
Technology Innovation Committee
See IAA Comment Letters and Statements to Regulators and Congress advocating for investment advisers
Our up-to-date calendar of professional conferences and scheduled meetings for Committees and Working Groups
Recordings of IAA Webinars are devoted to legal, regulatory, compliance and business issues