Our Mission
We empower independent advisory firms by making compliance real and relatable for SEC-registered and state advisory firms, providing customized services and ongoing support to ensure adherence to the Investment Advisers Act of 1940.
Meet the Team
Discover the Talented People Behind Our Success
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Stacie Craddock
Chief Executive Officer
& Founder
Adam Ostermiller
Chief Growth
& Strategy Officer
Ashley Craddock
Chief Operating
Officer
Kristyn Koller
Director of
Cybersecurity Services
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Deandra Miklos
Director of
Creative Services
Catherine Teichert
Senior Lead
Compliance Consultant
Lindsay Rider
Lead
Compliance Consultant
Tammi Ellis
Compliance Operations Manager
Izzy Daboub
Compliance &
Creative Design Associate
Sally Davey
Merchandising &
Creative Design Associate
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Anniston Craddock
Creative Design
Consultant
Jennifer Stevens
Creative Design
Consultant
Luke Ostermiller
Multimedia Content
Consultant
Michael Risner
Editorial Content
Specialist
Jordyn Bashore
Executive
Assistant
Madden Theodore
Chief Emotional
Support
Meet the Team
Discover the Talented People Behind Our Success
Stacie Craddock
Chief Executive Officer
& Founder
.png)
Deandra Miklos
Director of
Creative Services
Izzy Daboub
Compliance & Creative Design
Associate
Luke Ostermiller
Multimedia Content
Consultant
Catherine Teichert
Senior Lead
Compliance Consultant
Sally Davey
Merchandising &
Creative Associate
Ashley Craddock
Chief Operating
Officer
Lindsay Rider
Lead
Compliance Consultant
_edited.jpg)
Anniston Craddock
Creative Design
Consultant
Jordyn Bashore
Executive
Assistant
Kristyn Koller
Director of
Cybersecurity Services
Tammi Ellis
Compliance Operations
Manager
Jennifer Stevens
Creative Design
Consultant
Madden Theodore
Chief Emotional
Support
Real Experiences.
Real Results.
Discover How We’ve Helped Our Clients Thrive.
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CASE STUDY 1
Strengthening a Mid-Size RIA’s Compliance Program
CHALLENGE
​A mid-sized SEC-registered RIA was flagged during a routine exam for inadequate disclosures in performance advertising and weak supervisory procedures. While exam findings are common, failing to address them can lead to sanctions, penalties, or reputational damage.
ICA’s SOLUTION
ICA conducted a full compliance review, starting with a gap analysis of supervisory controls, advertising, and Form ADV. We revamped the marketing review process, implemented a pre-approval workflow, and updated disclosures to meet SEC standards. All solutions were tailored to the firm’s size, risk, and service model for practical adoption.
OUTCOME
​With ICA’s support, the firm resolved all exam findings and passed the SEC’s follow-up review with no additional issues. The successful outcome validated the remediation work and established a stronger, more defensible compliance program. The firm now operates confidently, aligned with both regulatory expectations and industry best practices.
ONGOING SUPPORT
After remediation, ICA was retained for ongoing compliance support, including periodic reviews, updates, and strategic guidance. We help the firm stay ahead of evolving regulations and maintain a strong compliance posture. This case shows that while SEC exam findings are common, timely and expert response turns potential setbacks into lasting solutions.
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Real Experiences, Real Results
Discover How We’ve Helped Our Clients Thrive
CASE STUDY 1
Strengthening a Mid-Size RIA’s Compliance Program
CHALLENGE
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Flagged by SEC during a routine exam
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Issues in advertising and supervisory procedures
ICA’s SOLUTION
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Conducted comprehensive gap analysis
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Overhauled marketing material review
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Revised Form ADV
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Created a structured pre-approval workflow
OUTCOME
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Cleared SEC follow-up exam with no findings
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Now operating with a solid compliance foundation
ONGOING SUPPORT
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ICA retained for long-term compliance advisory
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Continual refinement of the program to stay ahead of regulations
CASE STUDY 2
Building a New RIA
from the Ground Up
CHALLENGE
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Breakaway transition planning
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Needed end-to-end support for
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Drafted and filed all registration documents
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Advised on and facilitated custodial partnership
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Helped select and implement an integrated tech stack
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Provided coaching throughout the breakaway process
OUTCOME
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Successfully launched a fully operational RIA
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Seamless client transition and onboarding
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Strong foundational compliance program in place
ONGOING SUPPORT
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Continued first-year support
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Active guidance through early-stage growth challenges
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Strategic compliance support tailored to the firm’s evolution
CASE STUDY 2
Building a New RIA
from the Ground Up
CHALLENGE
A team of seasoned advisors breaking away from a wirehouse needed full support to launch their RIA. Though strong with clients, they lacked the compliance, documentation, and operational know-how to build and scale an independent firm.
ICA’s SOLUTION
ICA supported the team end-to-end filing SEC registration, creating compliance programs and client documents, setting up tech and custody, and providing strategic guidance to ensure a smooth, compliant launch.
OUTCOME
​The firm launched smoothly with a scalable, SEC-ready compliance program and seamless client onboarding enabling advisors to focus on clients from day one. The early clarity around workflows, technology, and responsibilities enabled the advisors to shift quickly from setup to serving clients without interruption or regulatory friction.
ONGOING SUPPORT
​SEC registration doesn’t have to be overwhelming we make it simple and manageable. At Integrated Compliance Advisors, we pair expert guidance with smart technology to help you navigate Form ADV, Form CRS, compliance rules, and key recordkeeping requirements.
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You focus on your clients, we’ll take care of the compliance.
