Compliance Programs for Registered Investment Advisers

Build a compliance program that's tailored to your business.

We provide customized compliance solutions for investment advisers, exempt reporting advisers, family offices, municipal advisors, and digital advisers to establish and uphold a compliance program that meets the standards set by the U.S. Securities and Exchange Commission (SEC).

Choose from our packaged ACA Signature® programs, options for outsourced compliance for RIAs, and ad hoc solutions to meet your firm’s specific regulatory and compliance requirements.

Complete the form to learn why investment advisers choose ACA for their RIA compliance services.

Regulatory Compliance Solutions for Your Business Needs

ACA provides expert compliance advice to our clients through our RIA compliance program, ACA Signature®, as well as through ad hoc RIA compliance solutions.

Our investment adviser compliance consultants offer ongoing support tailored to your firm’s needs, resulting in a comprehensive compliance program. With ACA, you can rest easy knowing your firm’s compliance activities are guided by industry experts.

Compliance Programs for Registered Investment Advisers

Designed by compliance experts and tailored to fulfill the ongoing compliance obligations of investment adviser firms, each ACA Signature® program is supported by our global team of compliance professionals.

Choose the combination of compliance consulting, managed services, regulatory technology, and cybersecurity that is right for your firm. We offer four unique models to allow you to tailor our services to your firm’s needs:

• Outsourced CCO
• Signature Partner
• Signature Core
• Signature Essential

Contact our team today to learn which program best aligns with the needs of your firm.

Ad Hoc Compliance Services

ACA provides standard, as well as custom, ad hoc compliance solutions designed to solve the specific needs of an investment adviser. Standard solutions include:

• Rule 206(4)-7 Annual Compliance Reviews
• SEC and State Mock Exams
• Compliance Policies and Procedures Manual
• Code of Ethics
• Transition of Registration (State to SEC, SEC to State)
• Form ADV and Form CRS Filings
• Form PF Filings
• Form 13 Filings
• Blue Sky & Form D Filings
• Regulatory Exam Support

Why ACA?

We’ve been in your shoes - when you work with us, you’ll have the peace of mind that comes from working with the most trusted and experienced RIA compliance consultants in the financial services industry.

Our team includes former SEC, FINRA, FCA, NFA, CFTC, and state regulators, along with former Chief Compliance Officers and senior compliance managers from prominent financial institutions.

We offer a deep understanding of the regulatory landscape and the holistic use of technology to maximize efficiencies and provide true value through every step of the process.

Complete the form to learn why investment advisors choose ACA for their compliance services.