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Make Compliance Work for You
 

We make SEC compliance real, relatable and tailored to your firm.

Existing SEC Registrant Review

Whether you're preparing for an SEC exam or want peace of mind that your disclosures and agreements are in top shape, our Existing SEC Registrant Review provides a comprehensive, actionable assessment of your firm’s compliance posture.

 

From Form ADV to your advisory agreements, we identify issues, revise language, and align your materials with the latest regulatory expectations.

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Explore Our Services

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FINRA CRD & IARD Services

We help you maintain and update your regulatory filings in the FINRA CRD/IARD system with accuracy and consistency.

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Client Advisory Agreements

Ensure your client agreements are compliant, customized, and aligned with your disclosures.

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Compliance Manual & Base Documents

Keep your core compliance documents current and tailored to your operations.

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CCO Checklists

& Tools

Equip your Chief Compliance Officer with custom checklists and workflows to stay ahead of regulatory requirements.

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CCO Coaching & Guidance

Receive tailored one-on-one support and training for your designated CCO or compliance team.

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Advertising &
Marketing Review

Ensure your website, pitch materials, and client communications meet SEC marketing rule standards.

Select Required Engagement

To ensure the firm remains compliant through the Initial Registrant Exam, we'll require an engagement in conjunction with our Initial Registration Service.

Essential Services provides core tools. Custom policies, procedures, checklists, and forms, plus hands-on support for CCOs, FINRA filings, and marketing reviews to meet all regulatory expectations with confidence.

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CCO
Support
& Guidance

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Client
Advisory Agreements

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Advertising

& Marketing Review

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CCO
Checklists
& Tools

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Risk

& Gap

Analysis

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Firm

Support

& Education

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Compliance Support & Base Documents

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SEC

Exam

Support

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EDGAR

Filings

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FINRA
CRD & IARD Services

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SEC 

Mock

Exam

 

*Services in grey are not provided at this level of engagement.

What You’ll Get from Our
Compliance Review

Detailed review of Form ADV Parts 1 & 2
Comprehensive advisory agreement feedback
Gap analysis of policies & procedures
Code of Ethics alignment review
SEC exam preparation insights
Redlined revisions and clear implementation guidance
Ongoing compliance support plan
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Reviews That Speak Volumes

Hear what people have to say about us

Marshall Investment

Management

Working with Integrated Compliance Advisors has been a very positive experience, and I would recommend them to anyone looking to increase their firm’s compliance standards.   Their expertise and commitment to addressing all our compliance needs, as well as their help with educating and training all facets of compliance regulation, has been invaluable!

Sharon Evans

RetireMitten Financial Planning

I’ve had the pleasure of working with the ICA team at two different financial firms, and they’ve been nothing short of fantastic. Their expertise and commitment to excellence are unmatched, making them a crucial part of our operations.

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ICA's team is knowledgeable and incredibly supportive, addressing all our compliance needs with a proactive approach and meticulous attention to detail. Their coaching is top-notch, providing our team with the skills and insights needed to uphold the highest compliance standards. Their training sessions are engaging, comprehensive, and tailored to our specific needs.

Amanda Oliver

Dash Investments

Working with ICA has been great! Keeping me as hands-off as possible is what is great about it!

Jonathan Dash

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Schedule a Consultation

Let’s Get Your Compliance Back on Track

Talk with a senior compliance consultant about your current setup and exam readiness.

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