RIA Compliance

Compliance Support for
Investment Advisors

Get hands-on registration and start-up compliance support from Greenwich Compliance, a new Interactive Brokers Group company.

Learn More about Greenwich Compliance

RIA Compliance Overview



Starting and registering your own advisory firm offers many benefits, including independence and the ability to control the advisory services your clients receive. But this increased freedom and control come with additional responsibilities, including making sure you comply with applicable state and federal rules.

Most investment advisors in the U.S. or with U.S. clients need to register with the SEC or the state(s) where they conduct business, make a series of regulatory filings, and meet ongoing compliance and regulatory requirements.

Advisors trading through IB can contact IB's new affiliate, Greenwich Compliance, for help with their registration and start-up compliance needs for a reasonable fee. Take your first step towards independence by scheduling a free registration consultation.


To assist advisors with their registration and compliance obligations, advisors can find helpful information concerning their compliance obligations on this RIA Compliance Center webpage, including:
  • A webinar providing an overview of advisors' registration and compliance obligations;
  • A series of spotlights – provided by Greenwich Compliance – that provide an in-depth look at compliance issues of interest to investment advisors. This includes spotlights on registration, advisory agreements and compensation, advertising, compliance policies and procedures, record-keeping, the Custody Rule, and insurance and bonding requirements;
  • Links to key regulatory websites where advisors can find additional information about their regulatory and compliance obligations;

In addition to these resources, Interactive Brokers' platform offers many benefits, including best execution, a way to manage client accounts from one master account, a variety of automatic billing arrangements, a service to build your website and a wide range of trading tools and portfolio modeling tools. These advantages and others are discussed elsewhere on the IB website (see Why Interactive Brokers? and The First Step to Advisor Independence) and in a previous webinar available here.

Click here for information on opening an advisor account at Interactive Brokers.


IMPORTANT NOTE:

Interactive Brokers is providing the RIA Compliance Center webpage for educational and information purposes only. This information should not be construed as legal advice and has not been tailored to address the particular circumstances of you or any other advisor. Investment advisors should independently research the applicable registration and compliance requirements and consult legal counsel as needed.

Webinars





Interactive Brokers recently released a webinar outlining the main registration and compliance rules governing investment advisors:

Starting out as a Registered Investment Advisor:
The Basics of Registered Investment Advisors' Compliance Obligations.


View PDF of Webinar

View Webinar Recordings

View Live Webinars




This webinar provides an overview of the basic compliance rules and obligations facing new registered investment advisors, including registration rules, internal procedures advisors need to adopt and documents they need to maintain. The webinar also discusses third-party services that can help you set up as an advisor and meet your ongoing compliance obligations.


The compliance issues reviewed and discussed in the webinar include:
  • Registration requirements and filings;
  • What it means to have "custody" over client funds and assets;
  • Advertising your services to clients, including limits on performance advertising and use of testimonials;
  • What advisors should (and should not) include in the agreement with their clients;
  • Fee arrangements with clients;
  • Written compliance policies and procedures and a formal Code of Ethics;
  • Books and records obligations; and
  • Ongoing regulatory filing obligations;

This webinar highlights the key things to know in these areas and the information and services that Interactive Brokers and third-party providers offer to help advisors address these requirements. So please join us for this informative overview of registered investment advisors' legal and compliance obligations, and the services available to advisors.

The contents of this presentation have been prepared for educational and information purposes only and do not constitute legal advice or opinions.


IMPORTANT NOTE:

Interactive Brokers has prepared this webinar for educational and information purposes only. The information in this webinar should not be construed as legal advice and has not been tailored to address the particular circumstances of you or any other advisor. Investment advisors should independently research the applicable registration and compliance requirements and consult legal counsel as needed.

Spotlight Series

Advisors can learn more about their compliance obligations through this series of Spotlights – provided by Greenwich Compliance – covering major compliance topics affecting investment advisors.


Spotlight on Forming Your Advisory Firm

You may wonder what it takes to start your own investment advisory firm. This Transition Guide highlights the major legal and regulatory considerations, issues and factors to consider in deciding whether to transition to your own investment advisory practice.


View PDF



Spotlight on Registration Requirements and Filings for Investment Advisors and Their Employees

The first compliance hurdle facing an advisor is making sure the firm and certain employees are registered with the SEC and/or the states in which you do business. This Spotlight summarizes the major registration rules affecting investment advisors.


View PDF



Spotlight on Advisory and Fee Agreements

Drafting an advisory agreement and determining how you will be compensated by clients is a key step when setting up an advisory firm. This Spotlight summarizes the main considerations advisors must keep in mind when designing these agreements.


View PDF



Spotlight on Regulation of Advisor Advertising and Marketing

Advisors are generally free to advertise their services but states and the SEC impose limits on the types of advertisements they can use. This Spotlight summarizes those limits, including the rules governing advertisements containing performance information and use of social media.


View PDF



Spotlight on The Compliance Systems and Documentation Advisors Must Maintain

Advisors must maintain written compliance policies and procedures reasonably designed to prevent, detect, and correct violations of applicable law and a Code of Ethics. We summarize those requirements in this Spotlight.


View PDF



Spotlight on The Custody Rule for Registered Investment Advisors

This Spotlight outlines the difficult and oft-misunderstood topic of advisors' "Custody" of client assets. It discusses the types of situations and arrangements that could lead a regulator to decide an advisor has "Custody" of its client's assets even if the assets are held at a qualified custodian like IB and the special responsibilities and requirements that come with having "Custody."


View PDF



Spotlight on Advisors' Recordkeeping Obligations

Registered investment advisors must create and maintain true, accurate, and current books and records related to the key parts of their business. This Spotlight discusses the types of records that advisors must maintain, the ways they must be kept and for how long.


View PDF



Spotlight on State Registration Requirements for "Small" Investment Advisors

So-called "Small" advisors face different, often more complicated registration considerations than larger advisors who are subject to SEC registration rules. This Spotlight summarizes the maze of state registration requirements facing investment advisors with less than $25 million AUM and/or a limited number of clients.


View PDF



Spotlight on Insurance and Bonding Considerations for Registered Investment Advisors

Advisors must decide whether to buy Errors & Omissions or other insurance and make sure they post the required bonds. This Spotlight outlines the factors advisors should consider when deciding what insurance to purchase and the federal and state rules regarding the bonds and net worth requirements governing advisors.


View PDF



Spotlight on Registration and Compliance Requirements for Foreign Investment Advisors with U.S. Clients

Foreign advisors often wonder whether they must register with the SEC and/or U.S. states. This Spotlight summarizes the main exemptions from U.S. registration available to foreign advisors.


View PDF





Interactive Brokers has compiled links to key regulator and trade association web pages containing information on the regulatory and compliance requirements facing advisors. Click here to access these Resources.


IMPORTANT NOTE:

These Spotlights are provided for educational and information purposes only. The information in these Spotlights should not be construed as legal advice and has not been tailored to address the particular circumstances of you or any other advisor. Investment advisors should independently research the applicable registration and compliance requirements and consult legal counsel as needed.

Sample Documents



Advisors must have certain written documents, client agreements, disclosures, and policies and procedures in place to conduct their daily business and comply with applicable federal and/or state legal requirements.

The following sample documents are provided by Greenwich Compliance as a courtesy to investment advisors trading through the Interactive Brokers platform.

Please keep in mind that these sample documents focus on the general requirements applicable to investment advisors registered with the Securities and Exchange Commission ("SEC"). Many, but not all, U.S. States have the same or similar requirements.

Advisors planning to use these template documents to draft their agreements, policies and procedures, and disclosures should review these documents carefully and consult with legal counsel or a compliance provider to draft documents appropriate for their firm. These are generic documents not written with any advisor in mind so advisors will have to customize them in light of their firm's practices and specific legal obligations.



If you have any questions about these template documents, you may contact Greenwich Compliance by clicking here.


IMPORTANT NOTE:

These template documents are provided for educational and information purposes only, and as a courtesy to investment advisors trading through the IB platform. These sample documents were drafted based on the requirements applicable to investment advisors registered with the Securities and Exchange Commission. State-registered advisors should research the rules in their particular state(s) and ensure that the documents they use conform to all applicable requirements. These sample documents should not be construed as legal advice and have not been tailored to address the particular circumstances of any specific registered investment advisor. Advisors should independently research the legal requirements regarding these documents and/or consult their legal counsel or a compliance service provider in drafting their documents. Advisors should not exclusively rely on these sample documents.

Information About Preferred Providers for Advisors


Interactive Brokers has reached preferred provider agreements with a variety of companies that offer RIA compliance and other services to advisory firms. These third-party service providers may be able to help new and existing investment advisors with their compliance and other related needs.

Many of these service providers have agreed to offer discounts to investment advisors trading on the Interactive Brokers platform. These discounts are generally listed below, next to the provider's name. Some providers, however, have chosen not to publish a discount on this page but may offer discounts if the advisor mentions having been referred by Interactive Brokers.

You can find preferred providers in the categories listed below. For each provider, we have included the provider's name, contact information, a short description of its services prepared by the provider and any discounts the provider asked IB to include.


ACA Compliance Group

ACA Compliance Group ("ACA") is a leading provider of regulatory compliance products and solutions, cybersecurity and risk assessments, performance services, and technology solutions to regional, national, and global firms in the financial services industry. With offices worldwide, our clients include leading investment advisers, private fund managers, commodity trading advisors, investment companies, and broker-dealers.

Our team of compliance professionals includes former SEC, FINRA, FSA, NYSE, and state regulators, as well as former in-house compliance professionals from prominent financial services firms. We work with compliance and legal professionals to review and develop compliance programs premised on best practices, current regulatory requirements, and robust oversight processes. Our key services include mock regulatory exams, policy and procedure development, compliance program reviews, tailored turnkey registration services, on-site compliance support, compliance outsourcing, and training.


Contact Information

Damon Zappacosta, Partner
ACA Compliance Group
1370 Broadway
New York, NY 10018
Phone: (212) 951-1030
Email: dzappacosta@acacompliancegroup.com
Webpage: www.acacompliancegroup.com




Advanced Regulatory Compliance, Inc. [15% discount]

Advanced Regulatory Compliance, Inc. ("ARC") is a national, full-service investment advisory compliance consulting practice backed by its association with The Law Offices of Patrick J. Burns, Jr., P.C., a securities law firm dedicated to assisting breakaway brokers. The explosive growth of the investment advisory business in recent years created a need for a firm such as ARC to help investment advisors deal with their ever increasing compliance obligations in a challenging regulatory environment. ARC provides practical solutions to complex compliance issues. Our key services include investment advisor registration, mock audits/annual reviews, ongoing compliance support, consultations and compliance technology solutions. ARC's highly skilled professionals provide compliance support to a variety of investment advisory firms: from start-ups to multi-billion dollar practices.


Contact Information

Advanced Regulatory Compliance, Inc.
415 N. Camden Drive, Suite 223
Beverly Hills, CA 90210
Phone: (310) 275-7300
Fax: (310) 275-7305
Email: info@advreg.com
Webpage: www.advreg.com

Our firm provides a complimentary consultation to prospective clients. Please be advised that we cannot provide legal advice or address specific situations prior to being engaged.




AdvisorAssist, LLC [10% discount]

AdvisorAssist is a management consulting firm focused exclusively on serving investment advisory firms. Through consultative services and outsourcing, we provide expertise, resources and actionable solutions that enable investment advisors to achieve their full potential. AdvisorAssist is dedicated to fostering entrepreneurship within the investment advisory industry, empowering advisors to run their "practice" like a "business" and helping advisors increase the enterprise value of their firms. We provide comprehensive business planning, registration, and compliance design services for RIAs and those seeking independence. AdvisorAssist can also deliver these services discretely, to enable advisors to continue serving clients through their existing firm.


Contact Information

Brian Young, Vice President - Business Development
AdvisorAssist, LLC
31 Schoosett Street, Suite 207
Pembroke, MA 02359
Phone: 1 (617) 800-0388, option 1
Fax: (617) 274-8446
Email: byoung@advisorassist.com
Website: www.advisorassist.com




Ascendant Compliance Management

Ascendant offers innovative compliance and business solutions for investment advisers, broker-dealers, and private fund managers and provides integrated compliance software and online training. For more information on Ascendant's services, such as annual reviews, compliance or IT risk assessments, SEC Exam Preparation and more, and for free compliance resources please visit www.ascendantcompliance.com or call (860) 435-2255.


Contact Information

Ascendant Compliance Management
194 Main Street
Salisbury, CT 06068
Phone: (860) 435-2255
Email: info@ascendantcompliance.com
Website: www.ascendantcompliance.com




Bates Compliance Solutions [10% discount]

Bates Compliance Solutions' ("BCS") team of experienced compliance professionals offer comprehensive compliance programs, reviews and continuing guidance to our registered investment advisory financial services clients. Our seasoned professionals closely review and test policies and procedures, supervision, and related practices involved in the matter, recommending changes and best practices to supplement and enhance our clients' compliance and supervisory systems, and remediate the results of regulatory action. We also assist our clients forming new RIAs with the preparation and implementation of their compliance and supervisory programs, Forms ADV, and Brochures. BCS is also positioned to assist with the new AML Rule that will take place in 2016.


Contact Information

Esdras Vera, CAMS
BCS – Global Practice Leader
Bates Group
5005 SW Meadows Road, Suite 300
Lake Oswego, OR 97035
Phone: (971) 250-4360
Cell: (609) 216-4622
Fax: (503) 670-0997
Email: evera@batesgroupllc.com
Webpage: www.batesgroupllc.com




Cordium [Free one-year access to Cordium's compliance video training library for advisors trading through Interactive Brokers]

Cordium is a market-leading global compliance firm specializing in the asset management and securities industries. With more than a decade of experience in the space, and over a trillion dollars in combined AUM across our client base, Cordium has built a reputation for quality, expertise, and thoroughness – characteristics of the utmost importance to compliance professionals. Our comprehensive ongoing and project-based consulting services allow firms to focus on running their own businesses while we ensure that all compliance issues are properly addressed. With Cordium, the process of meeting regulatory demands can make a positive contribution in the drive towards business excellence, turning compliance from a "have-to-have" into a "must-have" business advantage.


Contact Information

Cordium
San Francisco | New York | Boston | London | Malta | Hong Kong
Phone: (415) 547-8333 or (212) 515-2800
Email: sales.us@cordium.com
Website: www.cordium.com

Cordium is pleased to share its extensive regulatory compliance knowledge with clients of Interactive Brokers through an exclusive monthly webinar, focusing on 206(4)-7 compliance topics. All webinars are provided free of charge, and they are a great way to brush up on compliance requirements and learn the tools of the trade, or to learn about some simple tools to make compliance a breeze.For more information, please contact Cordium at (212) 515-2800.




Financial Registrations, Inc. [10% discount]

Established in 2001, Financial Registrations, Inc. is a regulatory compliance consulting firm providing registration, compliance and risk management solutions to the financial services industry. With former securities regulators and industry professionals on staff, we are able to provide you with efficient registration and compliance solutions and guidance; allowing you to focus on the core business of your firm.

It is our fundamental belief that our client relationships and ultimate satisfaction are of top priority. Our goal is to provide prompt, accurate, and up-to-date registration and compliance services with unparalleled quality. As a result, we do more than just "say" we will provide quality customer service, we guarantee it! If you are not completely satisfied with the quality of our customer service, we will, at your option, either waive professional fees, or accept a portion of those fees that reflects your level of satisfaction. For more information, please give us a call toll-free at (800) 641-1818 or visit us at www.financialregistrations.com


Contact Information

Brian K. Miller, Vice President, Business Development
Financial Registrations, Inc.
25602 Alicia Parkway #107
Laguna Hills, CA 92653
Phone: 1 (800) 641-1818
Email: client.relations@financialregistrations.com
Website: www.financialregistrations.com




Focus 1 Associates LLC [15% discount]

Focus 1 Associates LLC is a premier provider of SEC Compliance services, assisting registered investment advisers with their specific compliance needs under Rule 206(4)-7 of the Investment Advisers Act. We specialize in the areas of Mock SEC Examinations; Compliance Program Development and Annual Reviews; and New Adviser Setup. As part of our services, we provide unlimited consulting on the Rules and Regulations and Industry Best Practice; educational webinars, newsletters and industry alerts; as well as compliance templates and sample documents. Our experienced professionals deliver practical, solutions-oriented assistance, and each service is customizable and tailored to your compliance needs. For more information about our firm and services, please contact Toby Cochran at toby@focus1associates.com or (541) 944-1109.


Contact Information

Focus 1 Associates LLC
830 Alder Creek Drive, Suite B
Medford, OR 97504
Phone: (541) 201-2001
Fax: (541) 201-2002
Email: toby@focus1associates.com
Webpage: www.focus1associates.com




Gordian Compliance Solutions, LLC [10% discount]

Gordian Compliance Solutions is a strategic partner for developing and implementing practical compliance and risk management solutions for investment advisers, broker dealers, private fund managers, and futures professionals located throughout the United States. Our diverse client base ranges from startup businesses to well-established multinational firms. We strive to use your insights to effectively design a customized compliance solution that addresses regulatory requirements and establishes best practices. Our staff combines decades of hands-on experience with the highest customer service standards to provide innovative and efficient compliance consulting.

Navigating today's evolving regulatory environment consumes valuable time and drains limited resources. Gordian's team is here to help your firm understand the world of seemingly complex financial regulations by building unique, streamlined solutions that your business requires. We take a holistic, 360 degree approach, leaving no stone unturned, to foster a culture of compliance that provides you with peace of mind needed to effectively run your business. Our experienced team of professionals works with you to analyze, implement and maintain your own specialized compliance program with the goal of enhancing strengths, mitigating risks, and leveraging opportunities.


Contact Information

J. Niel Armstrong, President & Founder
235 Montgomery Street, Suite 1120
San Francisco, CA 94104
Phone: (415) 762 2848
Email: compliance@gordiancompliance.com
Webpage: www.gordiancompliance.com




NCS Regulatory Compliance [10% discount]

NCS Regulatory Compliance has over 25 years' experience in the compliance and regulatory services industry. Our hallmark focus is on providing reliable, convenient and reasonably priced services that are geared to RIAs. NCS Regulatory Compliance offers a customized ongoing compliance plan under our PartnerProgram for all size firms and focusing on our Pro and Essential levels for the smaller RIAs. NCS Regulatory Compliance also provides IAR registration/termination, notice filings, 13F & 13G filings, on-site compliance reviews, web site and advertising reviews, customized supervisory procedure manuals, IARD filing services, and assistance with on-going compliance needs. We also offer customized service programs, which are designed to allow your firm to work closely with our compliance consultants in structuring a compliance system that is appropriate for your specific regulatory needs. For additional information visit our website: ncsregcomp.com or contact Mark Alcaide at 603-216-8926.


Contact Information

Mark Alcaide, COO
NCS Regulatory Compliance
12 Parmenter Road
Londonderry, NH 03053
Phone: (603) 216-8926
Fax: (603) 437-3676
Email: info@regulatorycompliance.com
Webpage: www.RegulatoryCompliance.com




National Regulatory Services [20% discount off educational Desktop Seminars]

NRS is staffed with veteran compliance and registration specialists, including industry CCOs and attorneys. Our consultants combine their knowledge of regulations and industry best practices to provide sound and practical guidance designed to meet your firm's specific business needs.


Contact Information

National Regulatory Services
29 Brook Street
PO Box 71
Lakeville, CT 06039
Phone: (860) 435-0200
Fax: (860) 435-0031
Email: oderose@nrs-inc.com
Consulting webpage
NRS homepage




Orical LLC [25% discount]

Orical LLC ("Orical") is an award-winning regulatory and compliance firm based in New York City serving the global investment management community. Orical strives to provide best-in-class, responsive assistance with the operational, legal, and compliance matters affecting investment advisers daily. We administer compliance programs that represent the industry's best practices at a fraction of the cost of bringing commensurate expertise in-house. Our services are designed to be cost-effective, with near zero start-up costs and flat monthly fee arrangements available.


Contact Information

Gregory L. Florio
Florio, Scally & Leahy LLP
Orical LLC
370 Lexington Avenue, Suite 511
New York, NY 10017
Telephone: (212) 257-5781
Email: gflorio@orical.org
Webpage: www.orical.org

Orical is offering an initial consultation and risk assessment free of charge to those who mention the Interactive Brokers' Preferred Providers webpage. For those who decide to move forward with our compliance consulting services, we are offering a 25% discount and customizable fee structures.




Oyster Consulting, LLC

Oyster Consulting can help you start your firm on the right path by efficiently registering your new RIA, creating policies and procedures and implementing your compliance program. We will provide ongoing support as an outsource provider, or provide targeted support through mock exams, training and maintaining your program. Oyster Consultants have over 1,000 years of combined experience helping people like you start, grow, run and protect their businesses. Our team of over 50 experienced industry leaders includes former C-suite executives, in-house counsel, and regulators.

Oyster's consultants are located in over a dozen U.S. cities coast to coast, with a growing international presence in Bermuda and Europe that enables us to assist firms with complex needs. Our clients range from start-ups to some of the most widely recognized names in financial services. Call us to find out why experienced industry practitioners add more value and give better service than career consultants.


Contact Information

Oyster Consulting, LLC
4128 Innslake Dr.
Glen Allen, VA 23060
Telephone: (804) 965-5400
Fax: (804) 965-5409
Email: libby.hall@oysterllc.com
Webpage: www.oysterllc.com




Red Oak Compliance Solutions LLC [10% discount]

Red Oak is a full-service compliance consulting firm helping advisors with a wide range of registration, compliance, and supervisory services. Our goal is to allow you to focus on your clients and other priorities while we assist with your compliance burden. Please contact us at 1(888) 302-4594 or visit our website, www.redoakcompliance.com, to learn more.


Contact Information

Stephen Pope, Founding Member
Red Oak Compliance Solutions LLC
1101 Arrow Point Drive, Suite 301
Cedar Park, TX 78613
Phone: (512) 721-0421 or 1 (888) 302-4594
Fax: (512) 842-7497
Email: sales@redoakcompliance.com
Webpage: www.redoakcompliance.com

Red Oak is pleased to offer a free initial 30-minute consultation to help advisors trading through Interactive Brokers with any question they may need addressed. Don't stay awake at night wondering. Let Red Oak help put your mind at ease.




Regulatory Compliance, LLC [10% discount]

Regulatory Compliance provides comprehensive RIA compliance programs and training specifically tailored to your firm's business. Our experts take the time to get to know you and your firm, so we can be proactive in addressing the compliance issues that impact you most. From providing basic compliance tools and services to guiding your firm through the most complex of regulatory issues, Regulatory Compliance provides accurate, timely services you can rely on. Our staff has extensive experience with all facets of advisory compliance, from registrations, manuals and filings to addressing conflicts of interest and supporting advisers through SEC examinations. Our PartnerProgram for investment advisers provides a variety of choices for continuous support of your firm's compliance needs. Each program is designed to support and strengthen your firm's compliance program and is tailored to fulfill your firm's ongoing compliance obligations. Partner with Regulatory Compliance for truly customized compliance consulting. For additional information, please visit us online at www.regulatorycompliance.com or call 1-888-REG-COMP (734-2667).


Contact Information

Mark Alcaide, COO
Regulatory Compliance, LLC
12 Parmenter Road
Londonderry, NH 03053
Phone: (603) 216-8926
Fax: (603) 437-3676
Email: info@regulatorycompliance.com
Webpage: www.RegulatoryCompliance.com




Regulatory Ridge, LLC

Regulatory Ridge, LLC is a boutique consulting firm that provides legal and compliance solutions for alternative trading systems, broker-dealers, electronic stock exchanges, investment advisors, municipal advisors, municipal underwriters, and more. Our team is comprised of former FINRA regulators with salient insights into how your organization can successfully navigate the current regulatory landscape. We specialize in conducting annual compliance reviews, providing rule interpretation, writing and negotiating contracts, developing policies and procedures, assisting with regulatory examinations, mitigating operational risk management, and handling regulatory accounting.


Contact Information

Shannon Fitzgerald, Founder & Managing Director
150 E. Beaver Creek Blvd., A102
P.O. Box 19189
Avon, CO 81620
Email: info@regulatoryridge.com
Webpage: www.regulatoryridge.com




RIA Compliance Consultants, Inc.

RIA Compliance Consultants is a full-service consulting firm providing registration and ongoing compliance services and tools to investment advisers. Our consultants are industry experienced professionals providing customized compliance solutions. For new investment advisers, we offer a turnkey registration package through which we will assist you in structuring your programs, preparing your documents, and guiding you through the registration process. Learn more about how to register as an investment advisor by clicking here to register for our free webinar, "How to Become a Registered Investment Adviser." For existing investment advisers, we offer a variety of ongoing compliance support services. We will work with your compliance staff to identify risks and build and implement practical solutions designed to meet your regulatory responsibilities. For more information about RIA Compliance Consultants, click here to access our website. To speak with us and learn how we can assist you, contact our Senior Compliance Consultant and Director of Business Development, Tammy Emsick, at (877) 345-4034 Ext. 102 or click here to access our online calendar to schedule a time for one of our consultants to contact you. When contacting us, mention that you were referred by Interactive Brokers to receive a discount.


Contact Information

Tammy Emsick
Senior Compliance Consultant
RIA Compliance Consultants, Inc.
11640 Arbor Street, Suite 100
Omaha, NE 68144
Phone: 1 (877) 345-4034 Ext. 102
Email: temsick@ria-compliance-consultants.com
Webpage: www.RIA-Compliance-Consultants.com
To Schedule a Call: www.tinyurl.com/calltammy


IMPORTANT NOTE: Our firm provides prospective clients with an introductory complimentary consultation lasting up to 30 minutes with one of our Senior Compliance Consultants. This consultation will be general in nature and will not include any specific advice regarding a prospective client's situation. During the initial consultation, we will gather some information about the prospective client and the client's needs. We will provide general guidance regarding a recommended course of action and the compliance services we can provide to assist the prospective client. RIA Compliance Consultants is not law firm and does not provide legal advice.




RIA in a BOX

RIA in a Box is a leading provider of registration and compliance services to registered investment adviser firms. We enable fellow entrepreneurs to establish their own RIA firms and remain in constant compliance with regulatory guidelines by pairing our team of former regulators with cutting-edge compliance software. Our staff of industry professionals provides you with all the tools that a Registered Investment Adviser (RIA) will need to conduct business on day one. Over 2,000 RIA firms have been registered using our services. For pricing information visit http://www.riainabox.com/riaregistration-services or if you would like to learn more about our RIA registration and ongoing compliance services please contact us directly.


Contact Information

Steven Swansig
15 West 26th Street, 4th Floor
New York, New York 10010
Phone: 1 (866) 611-7638 option 1
Email: info@riainabox.com
Webpage: www.riainabox.com




RND Resources, Inc

RND Resources, Inc. is a leading full-service compliance consulting firm for investment advisers facing complex regulatory responsibilities and audit needs. Our team of experts work closely with your business to provide professional outsourced solutions. At RND, we take a proactive approach to working with clients, keeping them abreast of regulatory revisions and expectations.

Look to RND for audit and custody exams; SEC and state compliance registration and testing; and on-going consulting support such as Risk Assessments, CCO training, Web IARD / CRD services, Anti-money Laundering Compliance, and On-site consulting. Utilize our PCAOB registered CPA for custody audit needs, Internal control reports, mock exams, and fund audits.

With offices in Los Angeles and New York, we're here to assist with regulatory requirements from simple to complex. Visit www.finracompliance.com for more details or call us at (818) 657-0288 or (646) 461-4999 (New York). Download our RIA services brochure: http://www.finracompliance.com/investment-adviser/


Contact Information

RND Resources, Inc
21860 Burbank Blvd #150
Woodland Hills, CA 91367
Phone: (818) 657-0288 or (646) 461-4999
Email: dave@finracompliance.com
Sales: tarik@finracompliance.com
Webpage: www.finracompliance.com




Scitus Consulting LLC

Scitus Consulting is a boutique regulatory compliance services provider located near the heart of Washington DC. We specialize in Risk Assessment and other compliance for RIAs and BDs emphasizing interconnectedness and transparency in the changing regulatory landscape. We have experience working on seminal regulatory reforms with the SEC and other regulatory agencies (CFTC, FSOC, FINRA, CBOE and NFA). Please refer to our website for detailed list of services: http://www.scitusconsulting.com


Contact Information

Marina Baranovsky
Scitus Consulting LLC
11654 Plaza America Dr. Ste 260
Reston, VA 20190
Phone: (703) 988-6858
Email: contact@scitusconsulting.com
Webpage: http://www.scitusconsulting.com




Thornton & Associates, LLC [15% discount]

Thornton and Associates, LLC was founded and is staffed by former NASD/FINRA examiners and compliance professionals. Our firm provides customized regulatory and compliance services to the small to medium size broker dealer and RIA. We understand the difficulties that broker dealers and RIAs encounter as they try to run and grow their business while simultaneously maintaining compliance with SEC, state and FINRA rules and regulations. For more information about our customized compliance services, please contact us at (877) 542-6759.


Contact Information

Thornton & Associates, LLC
16 North Marengo Ave., Suite 700
Pasadena, CA 91101
Toll Free: (877) 542-6759
Office: (626) 356-0200
Email: info@thorntonandassociates.com
Webpage: www.thorntonandassociates.com

Ascendant Compliance Management

Ascendant Compliance Manager is a unique web-based compliance solution for the investment services industry. Leveraging Ascendant's compliance and technology expertise and business solutions, the Ascendant Compliance Manager is the hub for compliance professionals to manage and analyze a firm's compliance and operational risks, keeping it up-to-date on regulatory requirements and compliance alerts. For more information please visit www.ascendantcompliancemanager.com or call (860) 435-2255.


Contact Information

Ascendant Compliance Management
194 Main Street
Salisbury, CT 06068
Phone: (860) 435-2255
Email: info@ascendantcompliance.com
Webpage: www.ascendantcompliance.com




Compliance Science

Compliance Science is a global leader in providing web-based regulatory compliance technology and services to the Financial Services community. In today's complex global market, high-stakes business ventures need help to perpetually stay in compliance with regulatory law and to avoid being vulnerable to financial penalties as well as potentially staggering blows to public relations. Compliance Science's flagship product, the Personal Trading Control Center, allows companies to organize, supervise, and archive all employee personal trading activity with cost-effective web-based software. Specifically, Compliance Science offers a highly flexible and efficient solution to monitor employees' adherence to your firm's Code of Ethics and a complete review of activities associated with personal securities trading policies and the management of the Firm's restricted lists. Specific areas of supervision addressed by Compliance Science includes:

  • Employee Personal Trading
  • Quarterly / Annual Certifications, Disclosures, Attestations
  • Gifts & Entertainment
  • Outside Affiliations
  • Political Contributions
  • Document Management

Compliance Science delivers the above offerings to 500+ organizations… including RIAs, Broker / Dealers, hedge funds, asset managers, pension funds, law firms, and other professional services organizations.

For additional information, visit www.complysci.com, info@complysci.com, or call 212-327-1533.


Contact Information

Jeffrey Lubitz
Chief Revenue Officer
Compliance Science, Inc.
875 Avenue of the Americas, 12th Floor
New York, NY 10001
Phone: (212) 327-1533
Email: JLubitz@ComplySci.com
Webpage: www.complysci.com




ComplyRight

ComplyRight is a customizable, web-based platform that enables investment advisers to automate a wide variety of compliance requirements. The software provides industry-leading document management capabilities to efficiently manage books and records in an SEC-ready format. ComplyRight's key features include: automation of pertinent regulations and filings; administration of Code of Ethics, including monitoring of restricted lists and personal trading, as well as reporting of conflicts, board positions, gifts and political contributions; collection and management of issues and incidents; and proof of compliance.

Please contact us to learn more about how ComplyRight can expand the bandwidth and expertise of your existing compliance personnel and for a description of our flexible cost structure. You may purchase ComplyRight separately as a stand-alone product or in conjunction with Orical's compliance consulting services.


Contact Information

Gregory L. Florio
Florio, Scally & Leahy LLP
Orical LLC
370 Lexington Avenue, Suite 511
New York, NY 10017
Telephone: (212) 257-5781
Email: gflorio@orical.org
Webpage: www.orical.org




Cordium [Discounts for firms with under 10 employees. Free one-year access to Cordium's compliance video training library for advisors trading through Interactive Brokers]

Cordium is a leading global provider of regulatory compliance consulting and software to the asset management and securities industry. Today, Cordium has offices in New York, Boston, San Francisco, London, Malta and Hong Kong. Cordium's software tools, Pilot and Compliance ELF, are web-based compliance management tools designed to meet our clients' regulatory needs. Our product development and support is handled in-house and never outsourced, ensuring that our clients get the most out of our robust compliance applications and top-tier customer support.

Pilot was designed and developed to allow firms to track and report all their compliance responsibilities across multiple jurisdictions, including workflow functionality. Compliance ELF (Employee Level Filing) gives firms broad flexibility to create an employee compliance portal to handle a wide range of employee compliance issues, such as: Quarterly Transaction Reports, Annual holding reports, Attestations, Notification, Training, Questionnaires and Personal Trading Pre-clearing. ELF contains electronic connections to over 3,500 global brokerage institutions, the most out of any similar product.


Contact Information

Cordium
San Francisco | New York | Boston | London | Malta | Hong Kong
Phone: (415) 547-8333 or (212) 515-2800
Email: sales.us@cordium.com
Website: www.cordium.com/compliance-software




Financial Tracking Technologies, LLC [10% discount]

All-in-One Total Compliance Protection Platform
The utility of Financial Tracking's total protection, all-in-one platform, combined with our service model, make it the lowest in total cost. Each module automatically tests and flags exceptions to your compliance guidelines and includes case management tools, proof reports for regulators and clients, and audit trails. Enjoy complete employee compliance workflow and eliminate report writing for the annual compliance review and more. All modules and the political contributions and insider trading detection databases are also sold separately.

Financial Tracking offers modules that provide solutions for all aspects of the compliance workflow. Modules include: Employee Personal Trading, Insider Trading Detection, Compliance Calendar, Campaign Checks (Pay to Play), Anti-Money Laundering (AML), Portfolio Compliance, Cross Trades, Counterparty Risk, Favoritism Alerts, Portfolio Pumping & Window Dressing, Performance Dispersions, Account Dumping, Unusual Activity Alerts, Valuation Testing, Alerts for Holdings Thresholds for Regulatory Filings Globally, and Portfolio Suitability.


Contact Information

Robert W. Kubala
Sales & Relationship Manager
Financial Tracking Technologies, LLC
1111 East Putnam Avenue, Suite 304
Riverside, CT 06878
Phone: (203) 340-2356 x 812
Fax: (203) 698-9132
Email: RKubala@financial-tracking.com
Webpage: www.financial-tracking.com




MyRIACompliance

MyRIACompliance provides an online software platform to help registered investment advisor (RIA) firms better manage and automate regulatory responsibilities. The platform is designed to assist both SEC and state registered firms. We believe that the best and most effective RIA compliance solution is one, which couples top-notch human expertise with an intuitive online system that makes an RIA firm's compliance responsibilities more transparent and manageable. If you would like to learn more about our industry leading technology that many RIA firms are using in their day to day compliance oversight visit our website https://www.myriacompliance.com or please contact us directly.


Contact Information

Steven Swansig
15 West 26th Street, 4th Floor
New York, New York 10010
Phone: 1 (866) 611-7638 option 1
Email: info@riainabox.com
Webpage: www.riainabox.com




National Regulatory Services [20% discount]

Developed based on the knowledge and expertise of NRS Consultants, NRS Technology solutions are tailored to meet the specific compliance needs of financial services firms. NRS provides turnkey solutions that can be used as compliance portals for your entire firm while streamlining workflow, tracking adherence, lowering costs and maximizing compliance.


Contact Information

National Regulatory Services
29 Brook Street
PO Box 71
Lakeville, CT 06039
Phone: (860) 435-0200
Fax: (860) 435-0031
Email: oderose@nrs-inc.com
Technology Solutions webpage
NRS homepage




Patrina Corporation [15% discount]

For over 20 years, Patrina Corporation has worked closely with the Financial Services industry to develop some of the most powerful compliance solutions available. Patrina's Integrated Compliance Suite is designed to help Broker/Dealers, RIAs, and FCMs manage their compliance tasks with greater efficiency than ever before. Reduce your reliance on multiple systems or paper-based processes by making Patrina Compliance the core of your compliance office, in the process saving money and reducing compliance risk. The Integrated Compliance Suite contains industry-tailored modules with built-in workflows covering the core of non-trading compliance including:

  • Message Review (Email, IM, Social Media)
  • Branch / Office Audit
  • Marketing Review
  • Customer Complaints
  • OBAs, Gifts, and Political Contributions
  • Compliance Manual Management
  • 17a-4 Compliant Records Archiving

Contact Information

Patrina Corporation
2 Wall Street
New York, NY 10005
Phone: (212) 233-1155
Email: sales@patrina.com
Webpage: www.patrina.com




Red Oak Compliance Solutions LLC [10% discount]

Red Oak, a leader in financial services Advertising Review, is helping reduce risks and lower costs with their AdMaster subscription software. AdMaster is compliant, easy to use, and highly configurable. Contact us to discover why investment advisors, private equity firms, broker-dealers, insurance companies and banks are all switching to AdMaster to manage their Advertising Review process. Please contact us at 1 (888) 302-4594 or visit our website, www.admastercompliance.com to learn more.


Contact Information

Stephen Pope, Founding Member
Red Oak Compliance Solutions LLC
1101 Arrow Point Drive, Suite 301
Cedar Park, TX 78613
Phone: (512) 721-0421 or 1 (888) 302-4594
Fax: (512) 842-7497
Email: sales@redoakcompliance.com
Webpage: www.admastercompliance.com




RIA Compliance Consultants, Inc.

RIA Express – Compliance Manual Drafter

This is a tool RIA Compliance Consultants has developed for advisers that want to draft their own compliance manual but don't know where to start. RIA Express – Compliance Manual Drafter is a cost effective solution that provides investment advisers with an efficient way to prepare a customized compliance manual. When you purchase RIA Express – Compliance Manual Drafter you will be provided access to an online questionnaire in RIA Express. You will use this online questionnaire to answer a dynamic and detailed set of questions about your investment adviser's personnel, business model, procedures, and practices. Through an electronic compliance manual authoring wizard, RIA Express will then automatically generate a customized draft of your investment adviser's written supervisory procedures and code of ethics. This draft is delivered to you in a Microsoft Word document format so that you can edit and finalize the policies and procedures as necessary. Click here and select the appropriate Self-Customized, Regulator Specific (State) or (SEC) version for more information about RIA Express – Compliance Manual Drafter or contact us at (877) 345-4034.

RIA Express – Compliance Review Subscription

This is a tool RIA Compliance Consultants has developed for investment advisers that are looking for some type of guidance through the annual compliance review process. RIA Express – Compliance Review is a cost effective online compliance tool that guides investment advisers through the process of reviewing the effectiveness of their compliance program. RIA Express – Compliance Review will take you through a series of questions about your investment adviser's disclosures, policies and procedures, and actual practices. Based upon your answers and the SEC's published rules for federally registered investment advisers, RIA Express – Compliance Review will allow you to generate a written findings report and track the status of your corrective actions. Click here to learn more about RIA Express – Compliance Review or contact us at (877) 345-4034.


Contact Information

Tammy Emsick
Senior Compliance Consultant
RIA Compliance Consultants, Inc.
11640 Arbor Street, Suite 100
Omaha, NE 68144
Phone: 1 (877) 345-4034 Ext. 102
Email: temsick@ria-compliance-consultants.com
Webpage: www.RIA-Compliance-Consultants.com
To Schedule a Call: www.tinyurl.com/calltammy




SROcalendar LLC

SROcalendar is a web-based compliance solution designed to lower costs and minimize the day-to-day compliance impact to Registered Investment Advisers, Investment Advisers, and Broker Dealers. With over 25 years' experience in the financial industry, including starting our own firm, the founders of SROcalendar are well aware of the daily compliance grind for many in the industry.

The Alerts calendar with its corresponding rules based filing system creates a compliance infrastructure. The filing system includes sample policies and procedures providing guidance on regulatory matters along with our custom fields which eliminate the need to print, sign and scan help ensure details are not missed. We offer four industry specific modules that are customizable to meet your regulatory needs while our web-based product allows for a scalable infrastructure meeting the challenges of multiple offices. Our forum is available only to current users allowing for discussion of current compliance issues, inquiries prior to or after a regulatory audit or as a media tool to communicate current industry trends.

Our service is an annual subscription of $12,000, which includes:

  • The initial setup of the filing structure including as many calls and emails until complete
  • Example Policies and Procedures
  • 500 gigabytes of WORM drive storage
  • 5 initial users on the site
  • Mock audit exams are provided upon request for an additional charge.

Regardless of the size of your investment advisory business, SROcalendar's efficient and detailed filing system is customizable to meet your needs.

Invest 3 minutes of your time to watch our demo video. http://srocalendar.com/Solutions/SECModule.aspx


Contact Information

SROcalendar
P.O. Box 279
ETNA, New Hampshire 03750
Phone: 1-855-866-6222
Email: david@srocalendar.com / michele@srocalendar.com
Webpage: www.srocalendar.com



SunGard

SunGard is one of the world's leading software and technology services companies, with annual revenue of about $2.8 billion. SunGard provides software and processing solutions for financial services, education and the public sector. SunGard serves approximately 16,000 customers in more than 100 countries and has more than 13,000 employees.

SunGard's Protegent suite of solutions provides firms greater visibility into potential risk factors while increasing operational efficiency and regulatory transparency. By utilizing one trusted partner, you can efficiently mitigate compliance risks and lower total cost of ownership.

Protegent helps firms:

  • Identify patterns of trading behavior across multiple asset classes that may indicate market manipulation or illegal insider trading before they can compromise the firm's reputation.
  • Fully administer the entire staff personal trading process to ensure that conflicts of interests are managed appropriately.
  • Manage and mitigate conflicts between lines of business within the organization.
  • Streamline initial and ongoing customer due diligence, Know Your Customer (KYC) and Anti-Money Laundering (AML) processes.
  • Facilitate and expedite the opening of new brokerage and non-brokerage accounts.
  • Establish policies that leverage social media as a viable and effective means of customer outreach.
  • Keep up with the changes in the regulatory environment and ensure that staff are in step via policy dissemination and continuing education.
  • Ensure trade monitoring compliance with regulatory requirements such as Reg NMS, OATS and OTS reporting.
  • Create efficiencies in commissions processing to help ensure proper payouts and payment holds.

Contact Information

John A. Smith
Senior Sales Executive
SunGard, Capital Markets, Protegent
3 Van de Graaff Drive, 2nd Floor
Burlington, MA, 01803
Phone: (781) 743-1135
Cell: (617) 233-1361
Email: john.smith@sungard.com
Webpage: www.sungard.com/protegent




TerraNua [10% discount]

TerraNua is a leading provider of risk and compliance technology Solutions. MyComplianceOffice enables automation of a broad range of compliance activities, including personal trade and conflict of interest activities, and provides an unparalleled ease of use in its approach to monitoring those activities. The MySurveillanceOffice solution enables organizations to monitor a range of activities of transactional activity including trading in addition to more static data such as customer information to protect the firm from a range of trading, suitability and other surveillance risks.


Contact Information

Bethany Murtiff
Sales and Marketing Associate
TerraNua
535 5th Avenue, 4th Floor
New York, NY 10017
Phone: 1 (866) 951-2280 Ext 602
Email: Bethany.Murtiff@terranua.com
Website: www.terranua.com

NCS Regulatory Compliance [10% discount]

NCS Regulatory Compliance has over 25 years' experience in the compliance and regulatory services industry. Our hallmark focus is on providing reliable, convenient and reasonably priced services that are geared to RIAs. NCS Regulatory Compliance offers a customized ongoing compliance plan under our PartnerProgram for all size firms and focusing on our Pro and Essential levels for the smaller RIAs. NCS Regulatory Compliance also provides IAR registration/termination, notice filings, 13F & 13G filings, on-site compliance reviews, web site and advertising reviews, customized supervisory procedure manuals, IARD filing services, and assistance with on-going compliance needs. We also offer customized service programs, which are designed to allow your firm to work closely with our compliance consultants in structuring a compliance system that is appropriate for your specific regulatory needs. For additional information visit our website: ncsregcomp.com or contact Mark Alcaide at 603-216-8926.


Contact Information

Mark Alcaide, COO
NCS Regulatory Compliance
12 Parmenter Road
Londonderry, NH 03053
Phone: (603) 216-8926
Fax: (603) 437-3676
Email: info@regulatorycompliance.com
Webpage: www.RegulatoryCompliance.com




National Regulatory Services [20% discount]

With over 30 years of industry-leading experience, NRS knows the critical challenges investment advisers and broker-dealers face and can provide a variety of Compliance Services to your firm. Let NRS be your compliance ally and streamline your process flow, creating efficiency and transparency across your teams.

  • Advertising and Marketing Review – NRS Consultants can review and make recommendations with regards to any advertising, marketing materials and websites used by your firm so that the materials are consistent with SEC rules and requirements.
  • Co-Sourcing – Combining NRS Consulting and Technology – Gain additional resources without hiring staff by combining the expert NRS Consultants with our ComplianceMAX technology.
  • NRS ComplianceMAXTM Technology - Discontinue disjointed review efforts which arise in a traditional e-mail, voicemail and spreadsheet review process. The ComplianceMAX Public Communications and Advertising Review module:
    • Seamlessly supports the filing of submissions through FINRA's AREF System.
    • Facilitates a 360-degree review process for paperless on-line collaboration and approval between key business stakeholders.
    • Has a built-in PDF Image Viewer and the ability to create annotations directly on uploaded documents, presentations, text or captured media.
    • Offers powerful tools to report and measure compliance across your organization.

For more information on the proper supervision driving compliance requirements related to communications and advertising review, please see the NRS white paper on "Getting the Message Right." Our whitepapers are strictly educational and do not promote our products or services.


Contact Information

National Regulatory Services
29 Brook Street
PO Box 71
Lakeville, CT 06039
Phone: (860) 435-0200
Fax: (860) 435-0031
Email: oderose@nrs-inc.com
Webpage: Consulting Services | NRS Homepage




Oyster Consulting, LLC

Having a thoughtful approach to advertising can improve sales, recruiting and customer loyalty. Mistakes can significantly damage your reputation and lead to fines and restitution. Oyster Consulting can help as an outsource provider to review marketing materials, develop policies and procedures and provide customized training to help you mitigate risk. Oyster also has the expertise to evaluate technology solutions for archiving and supervising content. Oyster Consultants have over 1,000 years of combined experience helping people like you start, grow, run and protect their businesses. Our team of over 50 experienced industry leaders includes former C-suite executives, in-house counsel, and regulators.

Oyster's consultants are located coast to coast, with an international presence in Bermuda and Europe that enables us to assist firms with complex needs. Our clients range from start-ups to some of the most widely recognized names in financial services. Call us to find out why experienced industry practitioners add more value and give better service than career consultants.


Contact Information

Oyster Consulting, LLC
4128 Innslake Dr.
Glen Allen, VA 23060
Phone: (804) 965-5400
Fax: (804) 965-5409
Email: libby.hall@oysterllc.com
Webpage: www.oysterllc.com




Red Oak Compliance Solutions LLC [10% discount]

Red Oak Compliance consultants can review and make recommendations regarding advertising, marketing materials and websites to help assure your materials are consistent with SEC, FINRA and/or insurance rules and requirements. We have reviewed hundreds of websites, social media sites, presentations, books, videos, ads, performance reports and have over 15 years of advertising review experience. In addition we have advertising review software, AdMaster, that can help facilitate the review of advertising material and serve as your official books and records. This blend of technology and expertise help improve efficiencies.


Contact Information

Stephen Pope, Founding Member
Red Oak Compliance Solutions LLC
1101 Arrow Point Drive, Suite 301
Cedar Park, TX 78613
Phone: (512) 721-0421 or 1 (888) 302-4594
Fax: (512) 842-7497
Email: sales@redoakcompliance.com
Webpage: www.redoakcompliance.com

Florio, Scally & Leahy LLP [25% discount]

Florio, Scally & Leahy LLP ("FSL") is a full-service investment management law firm in New York City, comprised of partners with a unique combination of buy-side expertise and top investment management law firm experience. We provide legal services for investment advisers, ranging from formation and registration to investor due diligence and compliance testing. FSL's goal is to distinguish itself from traditional law firms by providing exceptionally responsive, cost-effective, expert legal services.


Contact Information

Gregory L. Florio
Florio, Scally & Leahy LLP
Orical LLC
370 Lexington Avenue, Suite 511
New York, NY 10017
Telephone: (212) 257-5781
Email: gflorio@orical.org
Webpage: www.orical.org




Stark & Stark [10% discount]

Founded in 1933, Stark & Stark is a full service law firm representing advisory firms throughout the United States and Canada. Each of our clients receive the same level of responsive, customized service dictated by their individual needs, resulting in their preparedness for the most important, and singular reason to develop a compliance program - successfully completing an SEC exam. Stark & Stark offers a full-day Compliance Review, the scope and results of which are not subject to disclosure to the SEC during an exam, and includes a document review, document preparation of the required Annual CCO Review and Risk Assessment, and an exam review that covers all questions from the most current SEC exam and addresses the appropriate responses for topics like custody, cyber-security, performance presentations, conflict disclosures and due diligence procedures. As a result of the compliance review, firms will be better prepared for an SEC exam, and will be in much better positions to protect themselves from adverse client claims and/or regulatory actions.

In addition to on-site compliance reviews, we offer clients ongoing legal and compliance services including arbitration, litigation, regulatory, enforcement and employment matters. Instead of using the typical one–size–fits–all consulting model where everyone gets the same set of documents, we save clients time and resources by providing the specific, tailored services needed to be successful in the current regulatory environment. Stark & Stark has been successful in developing innovative solutions to meet our client's needs. Our attorneys act not only as legal counsel, but also as strategists and advisors. Our philosophy of putting the law to work for our clients continues to be the cornerstone on which we build and maintain our relationships.


Contact Information

Stark & Stark
993 Lenox Drive
Lawrenceville NJ 08648
Phone: 1 (800) -53-LEGAL
Fax: (609) 895-7395
Email: bcarlis@stark-stark.com and tgiachetti@stark-stark.com
Webpage: www.Stark-Stark.com




The Law Offices of Patrick J. Burns, Jr., P.C. [15% discount]

The Law Offices of Patrick J. Burns, Jr., P.C. ("PJB Law") is a nationally recognized securities law firm dedicated to assisting breakaway brokers transitioning to independence. Our firm works with breakaway brokers establishing their own investment advisory firms, as well as those joining existing firms. A large increase in the number of wire house brokers going independent the past few years lead to the creation of PJB Law whose sole mission is to protect brokers' and advisors' best interests. PJB Law's key services include investment advisor registration, transition counseling, business entity formation, employment-partnership agreement review and creation, handling promissory note issues and defense based services. Our firm's highly skilled professionals provide legal assistance to a variety of brokers, from those with small books of business to those with multi-billion dollar practices. PJB Law is backed by its affiliation with Advanced Regulatory Compliance, Inc. ("ARC"), a premier nationally recognized investment advisory compliance services firm dedicated to assisting advisors with their post-transition compliance needs.


Contact Information

The Law Offices of Patrick J. Burns, Jr., P.C.
415 N. Camden Drive, Suite 223
Beverly Hills, CA 90210
Phone: (310) 275-5059
Fax: (310) 275-7305
Email: info@pjblawoffice.com
Webpage: www.pjblawoffice.com

Cordium [Discounts for firms with under 10 employees. Free one-year access to Cordium's compliance video training library for advisors trading through Interactive Brokers]

Cordium brings together the latest advances in learning technology with a practical method to create the most innovative compliance training solution available. Our online training videos will transform the way your company communicates core values and ethics to your employees. The Cordium virtual library of customizable videos seamlessly simplifies complex legal matters into understandable, relatable and easy to remember scenarios. Motion graphics and colorful illustrations appear while a professional voice artist narrates policies and procedures with straightforward and clear explanations. Invite the Cordium team to help you restore regulatory training obligations into refreshing learning solutions with an immediate positive impact to your company's work environment Cordium is a market-leading global compliance firm specializing in the asset management and securities industries. With more than a decade of experience in the space, and over a trillion dollars in combined AUM across our client base, Cordium has built a reputation for quality, expertise, and thoroughness characteristics of the utmost importance to compliance professionals.


Contact Information

Cordium
San Francisco | New York | Boston | London | Malta | Hong Kong
Phone: (415) 547-8333 or (212) 515-2800
Email: sales.us@cordium.com
Website: www.cordium.com/compliance/online-video-compliance-training




Innova Learning [10% discount]

Innova Learning is a market-leading provider of eLearning solutions focused on the regulatory and compliance training needs of financial services companies (AML, Conflicts of Interest, Gifts and Entertainment, Diversity & Inclusion Ethics and Annual Compliance Meeting, just to name a few). Our courses provide an engaging and interactive learning experience that are situational and scenario based, which is proven to increase retention and to change behavior.


Contact Information

Michael Densen, EVP
Innova Learning
80 Broad Street, 5th Fl
New York, NY 10004
Phone: (978) 266-2672
Email: Mdensen@innova-learn.com
Webpage: www.innova-learn.com




NCS Regulatory Compliance [10% discount]

NCS Regulatory Compliance has over 25 years' experience in the compliance and regulatory services industry. Our hallmark focus is on providing reliable, convenient and reasonably priced services that are geared to RIAs. NCS Regulatory Compliance offers a customized ongoing compliance plan under our PartnerProgram for all size firms and focusing on our Pro and Essential levels for the smaller RIAs. NCS Regulatory Compliance also provides IAR registration/termination, notice filings, 13F & 13G filings, on-site compliance reviews, web site and advertising reviews, customized supervisory procedure manuals, IARD filing services, and assistance with on-going compliance needs. We also offer customized service programs, which are designed to allow your firm to work closely with our compliance consultants in structuring a compliance system that is appropriate for your specific regulatory needs. For additional information visit our website: ncsregcomp.com or contact Mark Alcaide at 603-216-8926.


Contact Information

Mark Alcaide, COO
NCS Regulatory Compliance
12 Parmenter Road
Londonderry, NH 03053
Phone: (603) 216-8926
Fax: (603) 437-3676
Email: info@regulatorycompliance.com
Webpage: www.RegulatoryCompliance.com




National Regulatory Services [20% discount]

From annual conferences and web-based seminars to professional development programs, NRS provides a comprehensive selection of practical compliance education options designed to train and enlighten personnel at investment adviser, investment company and broker-dealer firms. NRS Education events are designed to meet criteria for continuing education credits for CPA/accountants, certified financial planners, compliance professionals, attorneys and other professionals.

Additionally, the NRS Investment Adviser Certified Compliance Professional® (IACCP®) program, co-sponsored by the Investment Adviser Association (IAA), is a professional education program granting the designation, Investment Adviser Certified Compliance Professional (IACCP), to individuals who complete an online and/or in-person instructor-led program of study, pass a certifying examination, and meet its work experience, ethics and continuing education requirements.


Contact Information

National Regulatory Services
29 Brook Street
PO Box 71
Lakeville, CT 06039
Phone: 1 (860) 435-0200
Fax: 1 (860) 435-0031
Email: oderose@nrs-inc.com
Education Solutions webpage
NRS homepage




RIA Compliance Consultants, Inc.

RIA Compliance Consultants provides training during the year through our live webinar sessions. Live webinar sessions are also recorded and are then available through our recorded webinars library. Live webinar sessions are typically provided on a monthly basis and last approximately one hour. During our webinars, RIA Compliance Consultants' senior compliance consultants will present topics: to help train new staff on basic investment adviser compliance; that will provide you with best practices used by chief compliance officers of other investment advisers; that will provide you with tips for developing and implementing your firm's compliance program; and that will help you stay current on the most recent regulatory developments or current areas of regulatory focus. Webinars can be purchased on an individual basis or can be purchased through an annual subscription package. Participants purchasing the annual subscription package will receive access to our live webinar sessions as well as our library of recorded webinar sessions.

RIA Compliance Consultants can also develop customized training sessions for investment advisers that are looking to develop training more specific to their firm. RIA Compliance Consultants and you will discuss and agree upon the topics you wish to have covered during the training, your desired length of for the presentation, and method in which the training will be presented (i.e., live or webinar). RIA Compliance Consultants will then develop and present customized training based on your firm's needs. For more information, please contact us at (877) 345-4034.


Contact Information

Tammy Emsick
Senior Compliance Consultant
RIA Compliance Consultants, Inc.
11640 Arbor Street, Suite 100
Omaha, NE 68144
Phone: 1 (877) 345-4034 Ext. 102
Email: temsick@ria-compliance-consultants.com
Webpage: www.RIA-Compliance-Consultants.com
To Schedule a Call: www.tinyurl.com/calltammy

FinaMetrica [10% discount]

FinaMetrica specializes in risk tolerance and risk-related matters. The FinaMetrica risk profiling system is based on a psychometric test of personal financial risk tolerance. Psychometrics, a blend of psychology and statistics, is the scientific discipline for testing attributes such as risk tolerance. Launched in 1998, the system is now used by 5,500 advisers in 23 countries in seven languages. To date, more than 800,000 tests have been completed. The FinaMetrica system enables advisors to make valid and reliable assessments of their clients' risk tolerance, incorporate those assessments into the financial planning process and explain risk more meaningfully. More information: www.riskprofiling.com


Contact Information

Tyler D. Nunnally
U.S. Strategist
2213 Vistamont Drive
Decatur, GA 30033
Phone: (404) 320-6047
Email: tyler.nunnally@finametrica.com
Webpages: www.riskprofiling.com / www.finametrica.com / www.myrisktolerance.com




Pocket Risk [10% discount]

Pocket Risk is an online risk questionnaire for RIAs, Hybrids, IARs, Broker-Dealers and asset managers. The online questionnaire helps you understand how much risk your client is comfortable taking with their assets. The questionnaire is based on academic research, scientific testing and the real-world experience of advisors and clients. Pocket Risk has been profiled in Financial Planning Magazine and John Ndege (the CEO of Pocket Risk) was awarded one of the "Top 10 To Watch in 2015" by Wealthmanagement.com. Existing customers manage anything from tens of millions all the way up to multiple billions. As a preferred partner Pocket Risk is happy to offer a 10% discount off all published pricing starting at $79 a month for advisors trading on the IB platform.


Contact Information

Pocket Risk
59 Nightingale Place
London SE18 4HG
United Kingdom
Phone: (917) 563-2502
Email: support@pocketrisk.com
Webpage: www.pocketrisk.com




Riskalyze

Riskalyze is the company that invented the Risk Number™ and was named as one of the world's 10 most innovative companies in finance by Fast Company Magazine. Riskalyze works with RIAs, hybrid advisors, independent broker-dealers, custodians, clearing firms 2 and asset managers to align the world's investments with investor risk tolerance. Over $44 billion in assets are currently managed through the platform. As a preferred provider, Riskalyze is pleased to provide IB Platform Advisors with discounted pricing of just $109 / month for Riskalyze Solo, and $499 / month for Riskalyze team edition. Learn more and join a guided tour at www.riskalyze.com


Contact Information

Riskalyze
373 Elm Avenue
Auburn, CA 95603
Phone: 855-RISKALYZE
Email: sales@riskalyze.com
Webpage: www.riskalyze.com
Twitter: @Riskalyze

Beiley Software [$100 off a Fund Manager new license fee]

Beiley Software offers the Fund Manager Advisor software package for tracking all your client's portfolios. Fund Manager is comprehensive portfolio management software for the Microsoft Windows platform. With Fund Manager you can keep accurate records of your portfolios, and generate a wide variety of graphs and reports for your clients. Fund Manager has been helping manage portfolios since 1993.


Contact Information

Mark Beiley, President
Beiley Software
1161 North Dustin Lane
Chandler, AZ 85226
Phone: (480) 705-0129
Fax: (480) 705-9219
Email: interactive@fundmanagersoftware.com
Webpage: www.fundmanagersoftware.com




Blueleaf

Online reports or printed. Either way, eliminate the headache and costs of typical quarterly reports. Or even eliminate traditional quarterly reporting all together. Gone is the need to spend days every quarter to deliver an incomprehensible 40-page report that your clients won't read. Instead, give clients information that's always ready, on demand, and doesn't require you or your staff to "run a report." Blueleaf displays that data in an easy-to-use client portal that comes equipped with built in managed and held away account data aggregation, a document vault, and an open api that connects to your CRM, financial planning software, and analytics tools.


Contact Information

Kevin Flynn, Head Coach
Blueleaf
121 South Street
Boston, MA 02111
Phone: (617) 913-5512
Email: info@blueleaf.com
Webpage: www.blueleaf.com




Oxon Consulting Limited

Oxon is a provider of top-tier performance reporting services to asset management firms. Our package provides 9 functional reports including Management Dashboard, Performance Summary, Risk-Return Statistics, Dynamic Groupings, Heatmap Matrix, Value Range Analysis, Chart Book, Time Series Retriever and Fund List Customizer. Oxon can help various investment professionals of your firm located in different countries to review portfolio performance and analytics on the same page. With just a few clicks, you can quickly identify outlying strategies, monitor fund flows and unhide critical performance issues.


Contact Information

Ernest Leung, Founder & Principal Consultant
Oxon Consulting Limited
Room 1104, Crawford House, 70 Queen's Rd., Central, Hong Kong.
Phone: +852 2892 7630
Fax: +852 3958 5648
Email: ernestleung@oxonconsulting.com
Webpage: www.oxonconsulting.com

ACA Performance Services

ACA Performance Services, a division of ACA Compliance Group, offers GIPS® verification and other investment performance related services to investment managers across the globe. ACA Performance Services was formed in 2013 as the combination of ACA Beacon Verification Services (established August, 2001) and Vincent Performance Services (established August, 2003). Globally, ACA Performance Services is the largest team of professionals solely dedicated to GIPS verification and investment performance services globally. To date, ACA Performance Services has worked with over 300 asset managers, including 31% of the top 100 global institutional asset managers, as ranked by Pensions and Investments Magazine. Over 100 of our clients previously used a different verification provider, and 75% of these clients previously used a Big Four accounting firm for their verification.


Contact Information

Christie Dillard Horsman
Director of Client Development
ACA Performance Services
1301 Cowart Street, Suite 131
Chattanooga, Tennessee 37402
Phone: (423) 266-8333
Email: chorsman@acacompliancegroup.com
Webpage: www.acacompliancegroup.com/gips




Alpha Performance Verification Services [25% discount to investment advisors on the IB platform]

Alpha Performance Verification Services is a boutique investment performance verification firm providing Global Investment Performance Standards (GIPS®) verification and compliance consultation services and general investment performance verification. Michael Hultzapple, CPA, CFA, CIPM, has extensive experience verifying GIPS compliance and helping firms prepare for GIPS compliance. Alpha provides superb client service and cost efficient verification. For more information please visit our website: alphaverification.com


Contact Information

Michael W. Hultzapple, CPA, CFA, CIPM, Partner
Alpha Performance Verification Services
1913 Stuart Avenue
Richmond, VA 23220
Phone: (804) 677-4343
Email: mike@alphaverification.com
Webpage: www.alphaverification.com




Ashland Partners & Company LLP

Ashland Partners is a specialty CPA firm that has been providing services to the investment management industry since 1992. Today, Ashland Partners is staffed by over 100 employees and with offices in Jacksonville, OR, New York, Boston, Chicago, Denver, Shanghai, Seoul and Tokyo, we are able to provide our services to over 850 investment managers in 25 countries. Please contact us today to learn more about our firm and any of the following services: GIPS Consulting & Verification, Strategy & Model Examinations, SSAE no. 16 Examinations, Fund & Financial Audits, Surprise Custody Examinations, QPAM Audits, AML Audits and Cyber-Security & Anti-Money Laundering Services. Discounts for advisors trading through Interactive Brokers will be considered on a case–by–case basis.


Contact Information

Jamie Stewart, Director of East Coast Sales
Nick Malone, Director of West Coast Sales
Ashland Partners — Company LLP
552 Bigham Knoll, Suite 200
Jacksonville, OR 97530
Phone: Phone: (541) 842-8422 (Jamie Stewart); (541) 842-2702 (Nick Malone)
Email: jamie@ashlandpartners.com or nick@ashlandpartners.com
Webpage: www.ashlandpartners.com




Spaulding Verification Services [10% discount]

If you are looking to gain a marketing advantage by bringing your firm into compliance with the Global Investment Performance Standards (GIPS®) or by having a "non-GIPS" verification of your track record, then Spaulding Verification Services can help. A division of The Spaulding Group, Inc., Spaulding Verification Services team of senior-level GIPS and performance specialists provide firms with the support and guidance they need to achieve compliance with the GIPS standards as efficiently as possible. We also conduct thorough, on-site GIPS verifications. And, for firms that cannot or choose not to claim compliance with the GIPS Standards, we offer "non-GIPS" performance verifications to attest to the appropriateness and accuracy of their performance.


Contact Information

Chris Spaulding, EVP Strategy and Business Development
The Spaulding Group
33 Clyde Road, Suite 103
Somerset, NJ 08873
Phone: (732) 873-5700
Fax: (732) 873-3997
Email: CSpaulding@SpauldingGrp.com
Webpage: www.SpauldingGrp.com




Oxon Consulting Limited

Oxon Consulting is a professional provider of industry solutions and custom services to financial institutions and asset management firms. We offer consulting services for the building of portfolio analytics reporting platform, independent GIPS verification and fund manager selection to asset management firms and pension plan sponsors. We also offer a number of pragmatic tools for performance and portfolio analytics reporting.

Our unique ability to create quality, customized products – along with our unrivaled capacity to provide GIPS verification and investment manager selection services – makes us an indispensable partner to the investment community. Oxon has the right combination of technology and services to meet your needs. Please visit www.oxonconsulting.com for details. Discounts for advisors trading through Interactive Brokers will be considered on a case–by–case basis.


Contact Information

Ernest Leung, Founder & Principal Consultant
Oxon Consulting Limited
Room 1104, Crawford House, 70 Queen's Rd., Central, Hong Kong.
Phone: +852 2892 7630
Fax: +852 3958 5648
Email: ernestleung@oxonconsulting.com
Webpage: www.oxonconsulting.com

CalSurance Associates

A division of the 7th largest insurance intermediary in the world, CalSurance is an Errors & Omissions Insurance industry leader. With over 30 years of experience in Group Errors & Omissions programs, we set the standard for value-added service through new products and flexible program design, customized features and proprietary administration systems. We are driven to finding custom solutions that meet and exceed client needs. This focused approach, combined with the talents and experience of our people, has been the foundation of our consistent growth and long term success. Eligible RIAs can obtain a no obligation quote at www.calsurance.com/riam and bind coverage online.


Contact Information

Matt Johnson, Account Manager
CalSurance Associates
681 S. Parker Street, Suite 300
Orange, CA 92868
Phone: (714) 939-7449
Fax: (714) 367-7741
Email: mjohnson@calsurance.com
Webpage: www.calsurance.com




Golsan Scruggs

Since 1992, our team has focused on insuring the fiduciary risk needs of the RIA and investment management community through a client-by-client proprietary assessment, audit and education process called RIASURE. Special knowledge, combined with a thorough and effective client-centered partnership, delivers special results, secured through distinctive underwriting relationships.


Contact Information

Brian Francetich
VP & Director of GSRIA
10998 SW 68th Pkwy
Portland, OR 97223
Phone: (503) 244-0297
Email: bfrancetich@golsanscruggs.com
Webpage: www.riasure.com




NAPA Premier, Powered by Gallagher MGA

The National Association of Professional Agents ("NAPA") has been a trusted insurance and benefits provider in the financial services industry since 1989. NAPA Premier is administered by Gallagher MGA and provides outstanding E&O coverage, unparalleled industry experience and competitively priced E&O options to Registered Investment Advisors, Registered Representatives and Life Agents. NAPA Premier can deliver insurance solutions to firms of all sizes. Our individual RIA coverage starts at only $1,165. With multiple plans and limit options, easy online enrollment with an instant certificate, and flexible payment terms that fit your E&O needs. Coverage is written through an "A+ XV (Superior)" carrier.


Contact Information

Jason Rogers
Vice President, Business Development
National Association of Professional Agents
8430 Enterprise Circle
Lakewood Ranch, FL 34202
Phone: (941) 757-1443
Fax: (714) 367-7741
Email: jrogers@mga-insurance.com
Webpage: http://www.napa-benefits.org/ib/errors-and-omissions




Starkweather & Shepley Insurance Corp. of MA

Celebrating 135 years in business, the Investment Industry Practice Group of Starkweather & Shepley Insurance is an industry specialist in providing all lines of insurance including Cyber Liability, D&O/E&O Liability and ERISA/Fidelity Bonding. Our practice group prides itself on coordinating coverages and helping clients understand what they are purchasing all while helping their bottom line. Ask yourself, what value is your broker bringing to the table.


Contact Information

Andrew J. Fotopulos, President
Starkweather & Shepley Insurance Corp. of MA
One University Drive, Ste. 188
Westwood, MA 02090-2161
Direct phone: 781-234-0080
Toll Free: 800-854-4625, Ext. 1620
Cell: 401-585-0513
Direct Fax: 401-431-9359
Email: afotopulos@starshep.com
Webpage: www.starshepfi.com




Theodore Liftman Insurance, Inc.

At Liftman Insurance, we are dedicated to offering personalized risk and insurance services to clients. The purchase of a Cyber, Directors & Officers Liability, Errors & Omissions Liability, Employment Practices Liability, ERISA Bond or Fidelity Bond policy is only the beginning of a client's relationship with Liftman Insurance. We work continually to improve coverage, terms and conditions, and we always keep up to date with legal and regulatory changes that impact our policyholders. For all these reasons and more, Liftman Insurance has emerged as one of the most respected independent financial insurance agencies in the country. Contact Liftman Insurance today to see how you can benefit from our vast experience and commitment to client satisfaction.


Contact Information

Jessica Thayer, Senior Vice President
Theodore Liftman Insurance, Inc.
101 Federal Street, 22nd Floor
Boston, Massachusetts 02110
Phone: (617) 439-9595 EXT. 2
Fax: (617) 439-3099
Email: Jessica@liftman.com
Webpage: www.liftman.com

Advisor Products Inc.
$100 discount on first subscription to any Advisor Products content, including Financial Advisor Marketing Dashboard, Financial Advisor Communication Service, Financial Advisor Video Library, or Weekly Express Mail Newsletter

Advisor Products integrates CRM, planning, performance reporting and other professional apps with a secure document vault, and streams news in videos, articles and tweets aligned with the way most fiduciaries practice. We are an advisor's interface with clients and have been providing integrated client portals since 2007. We enable you to almost effortlessly educate and manage clients online. You'll generate leads from the integration of your website, social networks, and weekly email newsletter. The educational content we make is customized with your logo, colors — even your voice in videos. Content is based on a continuing professional education program for CFPs, CPAs, CIMAs, CPWAs, ChFCs, CLUs, EAs and other accredited professionals at Advisors4Advisors.com. Since 1996, independent financial professionals have entrusted Advisor Products with their client communications.


Contact Information

Andrew Gluck
Advisor Products Inc.
333 Jericho Tpk., Suite 333
Jericho, NY 11753 Phone: (516) 333-0066 x333
Fax: (516) 706-3162
Email: sales@advisorproducts.com
Webpage: www.advisorproducts.com




Ebix CRM SmartOffice

SmartOffice, powered by Ebix, is a multi-disciplined practice management solution tailored for the wealth management and insurance industry. SmartOffice manages both individual and business records while providing access to notes, activities, emails, documents, workflows, investments, insurance policies, proposals, and much more. With integrations with other best in breed, industry specific vendors, SmartOffice is created to reduce redundancy and increase efficiency. This premier customer relationship management (CRM) solution is the product of over 30 years of industry-specific development at the direction of our vocal user base. It is the chosen solution of over 120,000 current users to streamline operations and has been optimized for mobile devices to keep you connected to your clients no matter where you are. Build relationships and opportunities using client segmentation and marketing via dashboards used for mass correspondence. Whether you are a self-practitioner with ambitions of growth, an advisory with multiple advisors, or an advisor looking to organize your book to maximize value, SmartOffice offers a scalable solution to fit your needs.

The licensing fee for SmartOffice starts at $15 per month per user or can go up to $85 per month for sophisticated users. Please contact Chris Solórzano for more information or to schedule a discovery call.


Contact Information

GChris Solórzano
Senior Account Manager
251 S Lake Ave. Suite #200
Pasadena, CA 91101
Phone: (626) 585-3505 x 7332
Email: chris.solorzano@ebix.com
Webpage: www.ebixcrm.com




Grendel Online

Grendel Online is the leading CRM and Performance centric solution for the financial services industry. The cloud based solution handles nearly every data management need for the financial professional and includes CRM with advanced work flow management, client reporting, fee management, paperless office, client portal, email archive, account aggregation, portfolio rebalancing, and more. For product details, pricing, and any available discounts, please contact our Grendel representative: George Guidotti, george.guidotti@bigbrainworks.com , 888-824-4477 x115.


Contact Information

George Guidotti, Business Development
Grendel Online
Big Brain Works, LLC
140 West Gay Street, Suite 300
West Chester, PA 19380
Phone: 1 (888) 824-4477 x115
Fax: (484) 356-9445
Email: george.guidotti@bigbrainworks.com
Webpage: www.grendelonline.com




Interactive Advisory Software [10% discount]

Interactive Advisory Software (IAS) offers a fully integrated, browser-based wealth management solution for independent financial advisors, RIAs and broker/dealers. The solution combines Daily Download & Reconciliation of client account data, Portfolio Accounting & Management, Portfolio Rebalancing, Financial Planning, CRM, and Client Portals all from one single application.


Contact Information

Matt Wolf
Director of Sales and Marketing
Interactive Advisory Software (IAS)
3393 Bargaintown Rd
Egg Harbor Township NJ 08234
Phone: 1 (877) 572-6105
Fax: (609) 601-7177
Email: iassales@iassoftware.com
Webpage: www.iassoftware.com




Junxure [10% discount (ongoing) off Junxure Cloud subscription fees, after a 60-day free trial]

Junxure offers industry focused CRM solutions to help you provide superior service to your clients, streamline your operations and grow your business. With client data all over the place (i.e. Portfolio Management Systems, Custodian's Websites, Windows file folders, Email systems, etc.) Junxure Cloud helps you live in one place – with its robust and easy to navigate Cloud CRM solution. Often referred to as a "corporate memory", Junxure Cloud lets you capture all client interaction and correspondence in one place and helps your firm maintain a culture of compliance. With its workflow management tools, it helps ensure the right person is assigned the right task at the right time, every time. It offers intuitive tools to gather lists of contacts to create and send personalized letters and emails to communicate more proactively. Founded by advisors for advisors, Junxure has over 15 years servicing the financial industry. With a growing client base of over 11,000 active users and a retention rate of 96%, Junxure is dedicated to providing the highest level of customer service and industry best practices to help you succeed. Other affiliation and volume discounts may apply in addition to the 10% discount off Junxure Cloud subscription fees.


Contact Information

Robert DeFrancis, Director of Sales
Junxure
3651 Trust Drive
Raleigh, NC 27616
Phone: 1 (866) 586-9873 (option 2)
Fax: (919) 845-0062
Email: sales@junxure.com
Webpage: www.junxure.com

Erado [10% discount]

Erado is an innovator in electronic communication compliance, delivering the following service to customers worldwide:

  • Archiving for email, social media, IM, and websites
  • Analytics for compliance and marketing
  • Security, including email encryption
  • Hosted Services for email, IM and websites

Since 1994, Erado has assisted organizations manage and enforce cost-effective compliance and retention policies. See www.erado.com for more information or call 866-673-7236.


Contact Information

Phil Sprute, Vice President, Sales
Erado
321 Burnett Ave. S, Suite 100
Renton, WA 98057
Phone: 1 (866) 673-7236 Ext 503
Email: psprute@erado.com




Global Relay [special RIA Archive Bundle = $10/user/month (minimum 5 users), or 15 % discount off individual services]

Named a "Leader" in Gartner Magic Quadrant for Enterprise Information Archiving, Global Relay's 20,000 customers in 90 countries include 22 of the top 25 global banks, 51% of FINRA broker-dealers, and 70% of SEC registered hedge funds and RIAs. Global Relay is offering a special discounted Archive bundle to Interactive Brokers' RIA clients when they contact Global Relay. For one simple price, this Archive Bundle includes Compliance Archiving with required RIA compliance tools: Supervision, Online Search, eDiscovery, Legal Hold, Security and Encryption, Compliance Policies for Surveillance and Retention, Compliance Reports, online SEC/FINRA Audit tools, Collaboration tools and personal Archive web/mobile access for:

  • Archiving of Email, public IM (AOL, Yahoo!), Bloomberg, Lync, Linkedin and Twitter (special discounted Archive bundle).
  • Optionally, RIAs can add other message types, social media, websites or have Global Relay also host their email or IM.

Archiving for RIAs can be setup within hours. Please contact Global Relay at 1 (866) 484-6630 or visit www.globalrelay.com.


Contact Information

Thomas Johnston, Account Executive, Sales
Global Relay
Phone: 1 (866) 484-6630
Email: thomas.johnston@globalrelay.net or info@globalrelay.net




MessageWatcher

MessageWatcher is hosted solution provider offering email, website, social media and text message archiving. We also include the ability to monitor for key words or phrases in those communications. MessageWatcher offers some of the best solutions available at the lowest prices to help your firm deal with regulatory requirements, records management, and legal discovery. For discounts available to advisors trading through Interactive Brokers, please contact Craig Dinan. Pricing and available discounts may vary depending on the number of users, the services needed, and the duration of the contract.


Contact Information

Craig Dinan, President
MessageWatcher, LLC
7900 E. Union Avenue, Suite 1100
Denver, CO 80237
Phone: 1 (888) 317-3278
Fax: (720) 210-9765
Email: craig@messagewatcher.com
Webpage: www.MessageWatcher.com

Docupace Technologies

Docupace's secure and compliant cloud-based Document Aggregation system easily consolidates all of a company's books and records into a streamlined electronic vault. IT, financial operations, and compliance can easily file and retrieve secure documents to serve daily operational needs and the demands of a regulatory audit. Your firm can leverage Docupace's virtual vault and filing system to mitigate the risk of noncompliance with FINRA, SEC, and state audits that are inherent in a paper filing system or scattered database repositories. Your firm can also free-up precious office space by electronically warehousing its books and records for convenient retrieval whenever needed. The ePACS Centralized Vault platform is part of Docupace's entirely digital, secure and compliant Straight-Thru-Processing solution that fully integrates document management and workflow, including e-Signatures, e-Forms, and Check21 processing, from start to finish. Call Adam at Docupace to see what discounts are available.


Contact Information

Adam Jakobson, Director of Sales
Docupace
2001 S. Barrington Street #215
Los Angeles, CA 90025
Phone: (415) 416-0193
Email: Adam_jakobson@docupace.com
Webpage: www.docupace.com

ACA Aponix

ACA Aponix, a division of ACA Compliance Group, offers financial services firms a holistic, client-focused approach to technology risk and governance. Our team of financial technologists works with CTOs, COOs, and CCOs at a broad range of firms to improve security infrastructures, provide advisory services, and conduct cybersecurity reviews. Our reviews go well beyond network perimeter testing, and look for hidden vulnerabilities that lie elsewhere. Our core offerings include cybersecurity and risk assessments, vendor due diligence, network penetration and vulnerability testing, security training and phishing testing, and strategic technology advisory and guidance.


Contact Information

Raj Bakhru, Partner
ACA Aponix
1370 Broadway, 12th floor
New York, NY 10018
Phone: (212) 951-1030
Fax: (212) 868-5947
Email: rbakhru@acaaponix.com
Webpage: www.acaaponix.com




Ashland Partners [10% discount]

Ashland Partners is a specialty CPA firm that has been serving the investment management industry since 1992. This experience allowed us to create a line of Cyber Security Services specifically tailored to meet the needs of your investment firm. We work with your Chief Compliance Officer, Information Security Officer, and IT professionals to enhance your information security program. Our services include security training, phish testing, vulnerability testing, penetration testing, risk assessment, policy and procedure review, and cyber security consulting. These services were created to improve your security, and to strengthen your compliance. Contact us today to discuss how Ashland Partners can use our cyber security expertise for you.


Contact Information

Alan Jackson, Director of Cyber Security Services
Jason Millard, Partner
Ashland Partners — Company LLP
552 Bigham Knoll, Suite 200
Jacksonville, OR 97530
Phone: (541) 842-8458 (Alan Jackson), (541) 842-8404 (Jason Millard)
Email: alan@ashlandpartners.com, jason@ashlandpartners.com
Webpage: http://www.ashlandpartners.com




Entreda, Inc. [10% discount]

Entreda's Unify cybersecurity policy enforcement software analyzes and monitors servers, computers, mobile devices and networks financial firms use in order to verify enforcement of security best practices including compliance with a comprehensive checklist that conforms to FINRA and SEC technology guidelines. Entreda is a software company founded in 2011 with offices in San Mateo, California. For more information, visit http://www.entreda.com. To receive the following three benefits (aside from 10% off standard Unify pricing) please contact us at partner@entreda.com:

  • Cybersecurity policy with automated 24x7 enforcement that meets SEC/FINRA guidelines
  • Complimentary vulnerability assessment
  • Prioritized customer on-board & support

Contact Information

Sid Yenamandra
Entreda, Inc.
16 E 3rd Street, Suite 6
San Mateo, CA 94401
Phone: (650) 294-8162
Email: sid@entreda.com
Webpage: www.entreda.com




ITEGRIA, LLC [$500 off initial typical onboarding investment of $1,500, equivalent to 33% discount]

ITEGRIA is a strategic technology partner that works exclusively with Registered Investment Advisors. As a technology expert in the RIA space, ITEGRIA understands the importance of cyber security from both a technical and regulatory perspective. AdvisorGuard solution is designed to give you the information to protect your firm and help meet SEC cyber security compliance mandates. Using a combination of best-in-industry diagnostic tools to identify threats to your system, this service will scan your system monthly to identify vulnerabilities; identify, track, and block suspicious URLs; as well as prevent malicious software from shutting down your system or creating a gateway for attackers to access sensitive data. AdvisorGuard will also give your system an extra layer of protection by deploying a multi-factor authentication methodology to all of your workstations and servers. Our diagnostic report will pinpoint all the weaknesses that could leave you at risk for malicious and criminal behavior that could compromise your and your clients' most sensitive information. The power of information— you decide what action to take and when. The reports generated monthly through our AdvisorGuard solution are essential for demonstrating to the SEC that your firm is taking action to protect itself and your clients from cyber attacks.


Contact Information

Robert Madi, Partnership Development Executive
ITEGRIA, LLC
1550 North Northwest Hwy., Ste. 403
Park Ridge, IL 60068
Phone: (224) 563-3396
Fax: (847) 635-8450
Email: rmadi@itegria.com
Webpage: www.itegria.com




NCS Regulatory Compliance [10% discount]

With our Cybersecurity Advantage program we will take you through the seven necessary steps to cybersecurity compliance. 1) Fact-finding, 2) Document Review, 3) Independent Assessment, 4) Vulnerability Scan, 5) Gap Analysis, 6) Issue Resolution and Re-Test and 7) Final Report. Together, we will complete a questionnaire to pull information regarding your current technology systems and any cybersecurity measures you may have already taken or concerns you may have. The collected data will be reviewed by our team and tested in your office, from operational technology to infrastructure. We will review such things as CRM, portfolio managers, email systems, firewalls, and wireless access points. Following a review, a formal assessment and penetration testing will be done on your networks, computers, and applications to find weaknesses and vulnerabilities. A preliminary report will provide a guide for us to review with you any remediation and steps related to improving your cybersecurity weaknesses. It will also identify areas of strength. Corrective actions will need to be taken to receive the final report stating a compliant status based on our independent assessment. Download our brochure or visit ncsregcomp.com to learn more.


Contact Information

Mark Alcaide, COO
NCS Regulatory Compliance
12 Parmenter Road
Londonderry, NH 03053
Phone: (603) 216-8926
Fax: (603) 437-3676
Email: info@regulatorycompliance.com
Webpage: www.RegulatoryCompliance.com




Preparis [15% Discount]

The Preparis Audit-ready Package delivers comprehensive cybersecurity preparedness and compliance to RIAs more efficiently and cost-effectively than any other approach. The package includes everything your firm needs to meet the guidelines of the SEC including an incident management plan, annual plan updates, an annual cybersecurity assessment and penetration test, online cybersecurity training for employees, an annual tabletop test, and reporting packages for audits and client requests. If you're like hundreds of the RIAs we work with, you're faced with interpreting regulations and guidelines on your own while trying to determine how to cobble together multiple expensive vendors and point solutions. Preparis is protecting over $800 billion in assets for firms just like yours. Learn more here


Contact Information

Wade Tucker
CSO
3340 Peachtree Road, NE
Suite 2050
Atlanta, GA 30326
Phone: (855) 447-3750
Email: wtucker@preparis.com
Webpage: www.preparis.com




Regulatory Compliance, LLC [10% discount]

With our CybersecurityAdvantage program we will take you through the seven necessary steps to cybersecurity compliance. 1) Fact-finding, 2) Document Review, 3) Independent Assessment, 4) Vulnerability Scan, 5) Gap Analysis, 6) Issue Resolution and Re-Test and 7) Final Report. Together, we will complete a questionnaire to pull information regarding your current technology systems and any cybersecurity measures you may have already taken or concerns you may have. The collected data will be reviewed by our team and tested in your office, from operational technology to infrastructure. We will review such things as CRM, portfolio managers, email systems, firewalls, and wireless access points. Following a review, a formal assessment and penetration testing will be done on your net­works, computers, and applications to find weaknesses and vulnerabilities. A preliminary report will provide a guide for us to review with you any remediation and steps related to improving your cybersecurity weaknesses. It will also identify areas of strength. Corrective actions will need to be taken to receive the final report stating a compliant status based on our independent assessment. Download our brochure or visit RegulatoryCompliance.com to learn more.


Contact Information

Mark Alcaide, COO
Regulatory Compliance, LLC
12 Parmenter Road
Londonderry, NH 03053
Phone: (603) 216-8926
Fax: (603) 437-3676
Email: info@regulatorycompliance.com
Webpage: www.RegulatoryCompliance.com




RND Resources, Inc

CyberSecurity threats in the financial service sector are becoming more complex as hackers identify lucrative targets. At the same time regulatory authorities are strengthening compliance and control responsibility for member firms. RND provides CyberSecurity assessment and consulting for regulatory compliance to help firms identify strengths, weaknesses, opportunities, and threats. A sound risk assessment program reaches beyond network and IT security to analyze risks from third party vendors and audit internal processes. Stay in control by taking a lead in your firm's cyber compliance capabilities. Build a secure cyber compliance program before the next threat happens.


Contact Information

RND Resources, Inc
21860 Burbank Blvd #150
Woodland Hills, CA 91367
Phone: (818) 657-0288 or (646) 461-4999
Email: dave@finracompliance.com
Sales: tarik@finracompliance.com
Webpage: www.finracompliance.com




SROcalendar LLC

SROcalendar's Cyber Security Consultancy Program offers a consolidated approach to the growing risk of cyber-attacks in the Registered Investment Advisers, Investment Advisers, and Broker Dealer Industry. Our assessment is broken into four parts Regulatory Technology, Legal inclusive of Insurance and Education. In conjunction with your Senior Business leaders we analyze each aspect of your infrastructure and identify vulnerabilities. Together we construct a plan which adapts to your future needs and budget. As previous owners and operators of a Broker Dealer and Investment Advisor we understand the necessity of accurate, useful, honest analysis and solutions. We are independent of any predefined service package or software company. Once a plan is agreed upon we interview and consult on selecting vendors who will provide solutions to your firm.

Our service is an hourly cost of $300. We structure our program as follows:

  • An initial Cybersecurity presentation to the firms Senior Executives;
  • Time spent with the CCO and CTO discussing the firm's current infrastructure;
  • We circle back to the firms Senior Executives with an outline of recommendations;
  • Vendor selection process; and
  • Staff education seminars.

Regardless of the size of your investment advisory business, SROcalendar's Cybersecurity program can be adapted to fit your budget


Contact Information

SROcalendar
P.O. Box 279
ETNA, New Hampshire 03750
Phone: 1-855-866-6222
Email: david@srocalendar.com / greg@srocalendar.com
Webpage: www.srocalendar.com/solutions/cybersecurity

Finetooth Consulting

Finetooth is dedicated to the growth of financial advisors. Since 2006, our focus on independent business models and the needs of our clients have made us one of the most trusted consulting firms among advisors, RIAs, IBDs and clearing firms.

Our team of experienced financial services professionals is as diverse and dynamic as the firms and advisors we work with. Our collective background includes wealth management, financial planning, valuation, recruiting, and just about everything in between. We understand that changing broker dealers or acquiring advisory businesses is no small endeavor, and we are committed to providing our clients with a personalized, highly consultative experience.

Knowing the industry inside and out is our business. Helping clients make the most of their unique opportunities is our passion. We look forward to sharing that passion with you.


Contact Information

Ryan Shanks, Founder + CEO
Finetooth Consulting
34 Greenacre Ave
Longmeadow, MA 01106
Phone: 413-754-3254
Email: ryan@finetoothconsulting.com
Webpage: www.finetoothconsulting.com




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Contact Information

Mary Ann Buchanan, CEO
RIA Match
8000 Towers Crescent Dr., 13th Floor
Vienna, VA 22182
Phone: (571) 252-3247
Email: maryann.buchanan@riamatch.com
Webpage: www.riamatch.com



IMPORTANT NOTE:

Interactive Brokers has provided this list to help advisors trading on the IB platform find prominent third-party compliance providers. The Preferred Providers listed on this page are independent companies that are not affiliated with or agents of Interactive Brokers. The information concerning the providers on this page was provided by the third-party service providers listed, and Interactive Brokers does not guarantee its accuracy. This list is NOT a recommendation by Interactive Brokers that you should contract for the services of the third-party providers listed on this page. These third-party providers are independent of Interactive Brokers and Interactive Brokers does not make any representations or warranties concerning the services provided by these third-party providers.

Some of these third-party providers have offered discounted rates to advisors trading through Interactive Brokers. Interactive Brokers cannot guarantee that the discounts offered by these third-party providers are the lowest rates available.

IB Due Diligence Information:

Information About Interactive Brokers' Record



Your clients, administrators, auditors and/or regulators may ask about Interactive Brokers' record as a custodian and broker and ask you what due diligence you have done. Or you may be wondering about IB's record and doing due diligence yourself.

To help you answer these questions, Interactive Brokers' General Counsel has prepared a memo detailing Interactive Brokers' strong financial position, close regulatory oversight, experienced management, worldwide best execution and low cost that you can provide to regulators, clients, auditors, administrators or other third-parties. We have also included a series of links on this page demonstrating IB's fitness as a custodian and broker.

As these materials demonstrate, the combination of Interactive Brokers' extremely strong capital position, experienced and cautious management, strict regulatory oversight, best execution technology and low cost increasingly make IB the first choice for prime brokerage, clearing, and custody services for financial advisors who want to provide a safe, secure and cost-effective global investment platform for their clients.

If you need additional information about any aspects of Interactive Brokers' record, you may contact us using the Compliance Question? tab on this page.


Due Diligence Memo from Interactive Brokers' General Counsel

Interactive Brokers' General Counsel has prepared a letter you can give to clients and/or regulators to show why IB makes sense as a custodian and demonstrate your due diligence. This letter summarizes IB's strong financial position, credit ratings, close regulatory oversight, protection of customer assets, conservative and experienced management, best execution technology, disciplinary record, and industry awards and recognition.


Standard and Poor's Rating of Interactive Brokers LLC

Interactive Brokers LLC has been rated "BBB+" (Outlook Stable) by Standard & Poor's. This information may be found here. You can view IB's ratings going back to 2010 by creating a free account on the Standard & Poor's website.


Interactive Brokers LLC' SIPC Membership and Protections

Interactive Brokers LLC is a member of the Securities Investor Protection Corporation ("SIPC"). You may confirm IB's SIPC membership here.

SIPC protects customers against the loss of securities and cash held with a broker that fails up to a certain amount (typically $500,000, including $250,000 for cash). To better understand the protections afforded by SIPC, you may review the brochure "How SIPC Protects You"


Interactive Brokers' Industry Awards and Recognition

Interactive Brokers prides itself on its flexible, innovative, and dynamic trading technology, its low trading costs, and the price improvement its customers may receive on their orders.

The firm has received a number of industry awards recognizing this. Among others, IB has been ranked a top online broker by Dow Jones and Co.'s Barron's Magazine for the last six years.

You can view the awards and industry recognition Interactive Brokers has received since 2005 here.


Interactive Brokers LLC's Financial Statements

You can review Interactive Brokers LLC's annual and semi-annual statements of financial condition going back to 2003 here.


Interactive Brokers' Management

Profiles of Interactive Brokers' experienced and long-standing executive management team can be viewed here.


IMPORTANT NOTE:

Interactive Brokers has provided this due diligence information to help advisors trading on the IB platform or considering a switch to IB as a prime broker or custodian. This information is not intended to be an exhaustive presentation of IB's record or profile.

Some of the information or statements on this page or the linked pages or documents are based on reviews, ratings, or analyses of the unaffiliated third parties identified. If you need additional information about Interactive Brokers' record or are looking for supporting documentation for any claims, please contact us using the Compliance Question? tab on this page.

Best Execution:

It's All About Meeting Your Best Execution Obligations



Investment advisors have a "best execution" duty to their clients. Generally speaking, the advisor must execute client trades through a broker that, all things considered, gets their clients a favorable deal on each trade. The advisor should take into account the broker's execution quality, commissions and fees and the quality of the brokerage services provided, among other things.

If a regulator (or client) asks, an advisor needs to show that it has "considered the full range and quality of a broker's services when placing brokerage, including, among other things, execution capability, commission rate, financial responsibility, responsiveness to the adviser, and the value of any research services provided." Exchange Act Release No. 23,170 (April 23, 1986).

This is a continuing obligation—advisors should periodically evaluate the performance of the brokers executing client trades.

The materials on this page should help you show to clients, regulators, auditors and others that you have met your best execution obligations by trading through Interactive Brokers.

If you need additional information about Interactive Brokers' best execution record, you may contact us using the Compliance Question? tab on this page.


Interactive Brokers' Best Execution Advantage

Interactive Brokers has put together detailed information, including third-party data from the Transaction Auditing Group, Inc., ("TAG"), showing the best execution advantage of trading through IB, including the low per trade costs involved.

IB stands behind its execution quality. IB is the only broker that calculates and publishes total cost of execution statistics taking into account commissions and fees charged by IB and execution quality compared to the daily volume weighted average price (VWAP). Interactive Brokers publishes Electronic Brokerage performance metrics every month. Interactive Brokers clients' total cost of executing and clearing U.S. Reg-NMS stocks through IB was 0.6 basis points of trade money based on January 2017 data, as measured against a daily VWAP benchmark. The total cost of executing and clearing U.S. Reg- NMS stocks through IB was 0.6 basis points for the rolling twelve months. You may find the most recent performance metrics here.


Interactive Brokers' Rule 606 Reports

Like all brokers, IB files a quarterly report pursuant to U.S. Securities and Exchange Commission's ("SEC") Rule 606 describing its order routing practices. This report describes how and where customer orders are routed when customers use IB's Smart Order Routing System rather than directing their order to a particular market center. These reports are a standard part of the best execution information regulators expect advisors to review.

The most recent Rule 606 quarterly report is available here.

You may request prior quarterly Rule 606 reports by contacting Interactive Brokers through the Compliance Question? tab on this page.

IMPORTANT NOTE:

Interactive Brokers has provided this information to help advisors trading on the IB platform or considering a switch to IB as a prime broker or custodian evaluate IB's best execution record. This information is not an exhaustive presentation of IB's best execution record.

Some of the information or statements on this page or the linked pages are based on reviews, ratings, or analyses by the unaffiliated third parties identified. If you need additional information about Interactive Brokers' best execution record or are looking for supporting documentation for any claims or statistical information, please contact us using the Compliance Question? tab on this page.

RIA Compliance Questions

Answers to RIA Compliance Questions by Greenwich Compliance



Greenwich Compliance for help with RIA compliance

Our affiliate, Greenwich Compliance, has trained staff available to answer basic questions about registration and compliance issues for investment advisers using the IB platform at no charge.

Greenwich Compliance offers hands-on, registration and start-up compliance services at a reasonable cost.

Greenwich Compliance can also connect advisors who need targeted compliance services with third-party providers that specialize in a variety of advisor compliance services, many of whom offer discounts to advisors trading through IB.

Learn more about Greenwich Compliance

You can also submit your questions to Greenwich Compliance through the link below. You will be directed to a form on the Greenwich Compliance website. Enter the required information and Greenwich Compliance staff will respond as quickly as possible.

Submit a question