RIA Compliance

RIA Registration & Start-Up Compliance Support

RIA in a Box® [Discount schedule available upon request]

RIA in a Box® is a leading provider of registration, compliance, and cyber security software and services to registered investment adviser (RIA) firms throughout the United States. RIA in a Box® has helped over 4,000 investment advisers start an RIA firm and provides ongoing monthly compliance support with its MyRIACompliance software as a service platform to over 2,500 RIA firms.

RIA in a Box® Solution Features

• State and SEC Registration Services
• Regulatory Filings
• Compliance Calendar, Webinars, Checklists, Status Monitor, Compliance Log
• Audit Prep Tool, Risk Assessment Tool, Annual Review Tool
• Employee Supervision
• Registration Tracker
• Compliance Document Templates
• Mobile App
• Integrations with Leading FinTech Solutionss

Available Enhancements

• Compliance Consulting
• Archiving Solution
• Cybersecurity Solution
• Automated Employee Trade Monitoring
• IAR Continuing Education
• Fund Compliance

Our family of firms includes ComplySci, RIA in a Box, NRS, Illumis, and Itegria. Together, we offer a full suite of governance, risk, and compliance (GRC) consulting, technology, managed services, analytics, and outsourcing solutions to more than 7,000 customers globally.

Contact

www.riainabox.com/request-information
Phone: (866) 611-7638
Email: info@riainabox.com
Webpage: https://www.riainabox.com

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RIA Compliance Consultants, Inc. [10% discount]

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

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

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Red Oak Compliance Solutions LLC [20% 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

ACA Compliance Group

ACA Compliance Group ("ACA") is a leading provider of governance, risk, and compliance advisory services and technology solutions. We partner with our clients to help them mitigate the regulatory, operational, and reputational risks associated with their business functions. 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, FCA, NYSE, NFA and state regulators, along with former senior compliance managers from prominent financial services firms. We work with global compliance and legal professionals to review and develop compliance programs based on best practices, current regulatory requirements, and robust oversight processes. Our products include standard and customized compliance packages; cybersecurity, AML, and risk assessments; GIPS® verifications and other performance services; regulatory hosting services; regulatory reporting and regulatory capital management services; accounting and tax services; and a variety of business advisory, technology, and training solutions for financial services firms.

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

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Accordo Compliance Solutions LLC [15% discount]

Accordo is a financial services compliance consultancy offering comprehensive solutions. Our holistic approach combines deep regulatory compliance expertise with scalable technology to offer a suite of solutions for our clients. In addition to designing, implementing and testing compliance programs for registered investment advisors, Accordo offers a comprehensive suite of compliance services which includes registration, outsourced compliance support, and regulatory risk mitigation and examination support. We also offer a compliance program management tool for RIAs, and a subscription service that provides retail advisors with insights on the compliance impact of updates to regulation

Contact Information

Robert E. Masi
Managing Partner
Accordo Compliance Solutions LLC
1180 Avenue of the Americas, Eighth Floor
New York, NY 10036
Phone: 646-868-8170
Email: robert.masi@accordo-cs.com
Webpage: www.accordo-cs.com

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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

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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

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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.batesgroup.com

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Compliance Advisers, Inc. [15% discount]

Compliance Advisers, Inc. ("CAI") is a boutique regulatory compliance consulting firm based in Denver, Colorado, that has been providing customized compliance solutions to the securities industry since 1989. As a result of our efforts to assist investment advisers in meeting the regulatory requirements of the Securities & Exchange Act and the Investment Advisers Act, we have developed an expert level of understanding of investment advisor regulatory requirements as well as pragmatic applications of customized solutions to achieve compliance with these regulations. We are committed to remaining diligent in our quest to stay abreast of current products, issues and concerns related to the securities markets as well as keeping our investment adviser clients aware of new rules and regulations. In summary, we are committed to our Investment Advisers' success - both in terms of profitability and compliance. As a Preferred Provider on Interactive Brokers' "RIA Compliance Center", we are pleased to offer advisers trading through the IBKR platform a 15% discount on all services.

Contact Information

Karen A Steighner
President/CEO
Compliance Advisers, Inc.
4600 S. Ulster Street, Suite 560
Denver, CO 80237
Phone: (303) 795-0400
Email: ksteighner@complianceadvisers.com
Webpage: www.complianceadvisers.com

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Compliance Risk Concepts [20% discount]

Compliance Risk Concepts is a business-focused compliance advisory team of former in-house senior regulatory executives who provide top tier compliance risk management services to investment advisers on an as-needed, project or part-time basis. CRC furnishes sensible regulatory risk management solutions that achieve a comfortable balance between a client's commercial interests and the critical need to withstand regulatory scrutiny. Our value proposition is simple: an outstanding product at a fraction of the cost of in-sourcing.

Contact Information

Mitch Avnet
Managing Partner
Compliance Risk Concepts
441 Lexington Avenue, 11^th Floor
New York, NY 10017
Phone: (646) 346-2468 or (212) 922-2844
Email: mavnet@compliance-risk.com
Webpage: www.compliance-risk.com

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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

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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

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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

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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.foreside.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: busdev@foreside.com
Webpage: www.foreside.com

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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

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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

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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

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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

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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

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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

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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: mco.mycomplianceoffice.com

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

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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

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

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: https://riskprofiling.com/Get-Started/myrisktolerance/

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

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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 IBKR 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

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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 IBKR 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

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Tolerisk [10% discount]

Tolerisk® is a 2-dimensional risk tolerance assessment tool for all types of Investment Advisors and Financial Planners. Unlike traditional 1-dimensional risk tolerance exercises which focus primarily on the client's willingness to accept risk, Tolerisk separately measures each client's willingness and ability to take investment risk by incorporating cash-flows. All factors are combined into a simple, measurable, and actionable risk directive. Tolerisk also demonstrates the key drivers of each client's risk tolerance, how it will likely evolve through time, and even the client's probability of outliving his money. Learn how Tolerisk can help you grow your practice and demonstrate the highest fiduciary standards.

Contact Information

Tolerisk Sales
3018 Main St
Voorhees, NJ 08043
Phone: 856-306-8873
Email: sales@tolerisk.com
Webpages: www.tolerisk.com
Referral Code: IBLLC (use when purchasing to receive discount)

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

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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

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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

Alpha Performance Verification Services [25% discount to investment advisors on the IBKR 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

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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: (541) 842-8422 (Jamie Stewart); (541) 842-2702 (Nick Malone)
Email: jamie@ashlandpartners.com or nick@ashlandpartners.com
Webpage: www.ashlandpartners.com

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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

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

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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.golsanscruggsria.com

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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

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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

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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

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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

Chris 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

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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: ssales@hanlon.com
Webpage: www.hanlon.com

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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

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Trutelic [15% discount on installation AND yearly licensing]

Trutelic brings enterprise-level Contact Relationship Management to your Firm, TAILORING a seamless end-to-end system for all communication efforts throughout your Firm. Through a single integrated screen, you and your Advisors can manage the successful creation, approval and execution of any client and/or prospect communication efforts. (Whether it's a single client or a group email to your entire contact list.) Our CRM services include:

• Contacts Segmentation and Communication for engagement;
• Task Management and Collaboration to improve sales and service experiences;
• Opportunity and Service Strategy Management focused on prioritization and time management of all service related activities of your Firm;
• Client Program Transparency to visualize expected plan vs. actual execution; and
• Analytics and Auditing for DOL Compliance of relationship effectiveness and profitability.

Contact Information

Colin C Lake, CIMA®
President, Client Solutions Group
Trutelic.(home of Advisorflo)
Phone: 1 (617) 209-2529
Email: Colin.lake@trutelic.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

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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

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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

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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

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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.comply.com/products/itegria

RIA Match

RIA Match offers financial advisors and firms solutions for succession planning, growth and next generation recruiting. The matching platform has proprietary matching algorithms which allow you to search for free and pay to connect anonymously and securely. Buy, sell, merge, join or add advisors to your practice. Use this one-month free coupon: ria_match_promo

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

Investment Adviser Association

Investment Adviser Association [20% new member discount]

The Investment Adviser Association is a not-for-profit organization that represents the interests of SEC-registered investment adviser firms. The Association provides various services and benefits to its membership, including being the only organization that exclusively represents the interests of SEC-registered investment advisers before the U.S. Congress, the Securities and Exchange Commission, the Department of Labor, state securities commissions, and other governmental entities. The Association played a major role in the enactment of the Investment Advisers Act of 1940, the federal law regulating the investment adviser industry. Today, the IAA's growing membership consists of more than 650 firms that manage $25 trillion in assets for a wide variety of clients, including individuals, trusts, investment companies, private funds, pension plans, state and local governments, endowments, foundations, and corporations. The IAA provides members with valuable compliance resources and services, including access to the IAA legal staff and an extensive online library of legal, regulatory, and compliance resources. The IAA keeps members fully informed about relevant issues and timely topics through its many committees, working groups, and member forums, and with publications, conferences, workshops, webinars, and other educational programs.

Interactive Brokers is a Silver Partner of the Investment Adviser Association, and the IAA has agreed to extend a 20% discount on first year membership dues to Interactive Brokers clients. To claim this discount, investment advisers will need to note that they have found out about the IAA through Interactive Brokers and reference the discount code "Interactive20" in Item 5, under the "Firm Information" heading in their IAA Membership Application, which is available on this page.

Contact Information

Alain P. Taylor
Director, Member Marketing
Investment Adviser Association
818 Connecticut Ave., NW Suite 600
Washington, DC 20036
Phone: (202) 507-7200
Email: alain.taylor@investmentadviser.org
Webpage: https://www.investmentadviser.org