Sponsors & Partners

ACA Group is a leading provider of governance, risk, and compliance (GRC) advisory services and technology solutions – as a strategic partner in serving and advancing the investment adviser industry.

Charles Schwab Advisor Services is the industry’s leading custodian for independent registered investment advisers, offering a robust suite of technology platforms, practice management tools, and operational support to help firms thrive and scale.

Norm Ai is the Legal & Compliance AI company serving clients with over $30 trillion in combined assets under management. By turning legal code into AI code, Norm enables enterprises to move faster and more comprehensively in their business, legal, and compliance workflows, with the auditability, reliability, and trust that regulated institutions require. Norm’s platform combines frontier AI, proprietary legal reasoning systems, and human legal and regulatory expertise.

SS&C Advent, a business unit of SS&C Technologies, is helping more than 5,000 asset managers and asset owners worldwide transform their investment processes to maximize operational efficiency and fuel growth. Inclusive of the full SS&C Eze solution suite, Advent delivers highly specialized and sophisticated solutions underpinned by a modern, scalable, and flexible cloud framework to maximize efficiencies across portfolio management and reporting, trading, compliance, investor management and more. From start-up and emerging funds to the most recognized and established institutions, Advent solutions have provided firms with innovative and award-winning technology backed by unparalleled client service for over 40 years.

For 40 years, Berkshire Global Advisors has been a leading provider of trusted M&A and strategic advice to the financial services industry. As a global specialist investment bank, our deep market knowledge and relationships enable us to deliver results for our clients. Recognized as a leading advisor in the investment management, securities and related sectors, we have completed more than 435 transactions in this space. Across borders, market cycles and industry sub-sectors, Berkshire Global Advisors provides effective advisory services to CEO’s and their executive teams, business owners and financial sponsors.

Egnyte is the secure multi-cloud platform for content security and governance that enables organizations to better protect and collaborate on their most valuable content. Established in 2008, Egnyte has democratized cloud content security for more than 22,000+ organizations, helping customers improve data security, maintain compliance, prevent and detect ransomware threats, and boost employee productivity on any app, any cloud, anywhere.

Fairview provides full-service support services to registered investment advisers, including compliance administration, cyber solutions, investment administration, and performance services. Our team acts as an extension of an in-house compliance department, completing and submitting filings, conducting marketing review, maintaining and enforcing COEs, and more. Fairview is independently owned and operated, and values providing consistent, high-quality service, 100% of the time.

Red Oak Compliance Solutions is a leading provider of intelligent compliance software, offering a range of AI-powered solutions designed to help firms of all sizes navigate the increasingly complex regulatory landscape. Our solutions offer risk minimization, cost reduction, and process optimization capabilities. Our suite of 17(a)-4/WORM compliant features are designed to evolve in step with the ever-changing regulatory landscape, ensuring that it easily scales and our clients always stay ahead of the curve.

Salus GRC offers comprehensive compliance and cybersecurity solutions to registered investment advisers, NFA members and broker-dealers. We help manage compliance programs, provide ongoing services, examination preparation, remediation, compliance testing, filings, written procedures and compliance projects. At Salus GRC you will receive personalized service, from experienced professionals. We have built Salus GRC to attract world-class professionals with a focus on providing the highest level of service, using technology-enabled processes.

Wolf & Company has over 100 years of experience and offers a comprehensive suite of assurance, regulatory compliance, and tax services to registered investment advisers, exempt reporting advisers, family offices, and trust companies. Our commitment to quality, along with our registration with and inspection by the Public Company Accounting Oversight Board (PCAOB), instills confidence in both investors and regulators.

The Digital Assets Council of Financial Professionals has partnered with the IAA to offer its Certificate in Blockchain and Digital Assets® to IAA members at a $100 discount. Those who wish to enroll in the program can access the member discount code here.

COMPLY and the IAA offer the Investment Adviser Certified Compliance Professional (IACCP®) to advance investment adviser compliance as a profession. To date, more than 900 compliance professionals have earned the IACCP® designation.