Compliance

We provide flexible compliance services and support, regardless of whether you choose to affiliate as an investment advisor representative or you utilize our platform through your own independent RIA firm. Our solutions give you control to achieve the goals of your practice and provide confidence and efficiency while supporting business growth.

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As the industry evolves, many advisors are starting their own independent RIAs, for very good reason. Advisory Alpha provides a turnkey solution, not only to start your own independent RIA, but also to seamlessly transition your clients and integrate our platform into your firm. Further, our comprehensive advisory platform includes the resources and infrastructure required to manage, scale, and power your independent RIA firm.

IAR Affiliation Compliance

Focus Your Efforts on Your Business

If you affiliate as an IAR with our RIA, we provide you with a fully managed, turnkey compliance system that transfers a significant amount of the compliance-related burdens, costs, and responsibilities to our firm.

"IARD Service Support" text with user icon and plus sign

Icon and text reading 'Firm Document Maintenance Support' on a dark background.

Cloud icon with padlock and text 'Compliance Technology Resources' on dark background

Icon of an inbox with a yellow arrow and text reading 'Supervised Person Oversight Support' on a dark background.

Icon of a notebook with a star and text "Compliance Program Support" on a dark background.

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Shield icon with a checkmark next to the text 'Professional Liability Insurance' on a dark gray background.

Icon of person on clipboard with text 'Full CCO Responsibility.'"

Independent RIA Compliance

Leverage Our Added Support & Expertise

If you implement our platform through your RIA, we provide a variety of helpful compliance resources to reduce your compliance-related costs and strengthen your compliance program.

Standard Compliance Program

"IARD Service Support" banner with text "Templates Available" and a user icon with a yellow plus sign on a dark background.

"Firm Document Maintenance Support" text banner with "Templates Available" subtitle and document icon on dark background.

Banner with a cloud and padlock icon, reading 'Compliance Technology Resources: Submission System Included + Discounted 3rd Party Technologies Available.'

"Supervised Person Oversight Support" text with download icon, dark background.

Icon with a star and text "Compliance Program Support: Templates Available."

Managed Compliance Program

"IARD Service Support" graphic with text "Fully Managed Service Bureau" and a user icon with a plus sign on a dark background.

"Firm Document Maintenance Support" text on dark background with document icon, offering full maintenance and updates.

Cloud and lock icon with text: 'Compliance Technology Resources. Submission System Included + Discounted 3rd Party Technologies Available.'

Text reading 'Supervised Person Oversight Support: Full Management, Training & Supervision' with an icon of a box and downward arrow.

Banner with text 'Compliance Program Support, Full Management, Exam Support & Testing'

Promotional image for Advisor Alpha showcasing compliance services. Features a laptop, potted plant, and coffee cup on a desk. Text highlights services like asset management, advanced planning, technology, marketing, and compliance. Includes contact information and website.

Learn More About Our Compliance

If you are interested in learning more, please complete the form below to request a copy of our extended brochure or call us at 866-530-1400.