Product Spotlight: How ComplianceAlpha® Helped a Growing $1.5B AUM Investment Adviser/Wealth Manager Optimize Compliance Workflows

January 12, 2018 by Glen Froio

Product Spotlight: How ComplianceAlpha® Helped a Growing $1.5B AUM Investment Adviser/Wealth Manager Optimize Compliance Workflows

This is the first post in the ACA Technology Product Spotlight blog series. This series will highlight ACA Technology's solutions and how they can help your firm streamline operations, scale for growth, and meet business objectives effectively and efficiently.

Today's product spotlight focuses on ComplianceAlpha®, ACA's secure, centralized platform for compliance program management and risk monitoring.

Client Type: A Growing Investment Adviser/Wealth Manager with $1.5B AUM

The Challenge

An investment advisory and financial planning firm managing over $1.5 billion in client assets experiencing growth in its advisory business required updates to its compliance and marketing review program infrastructure, which was limited by inefficiencies in its manual review processes.


The ACA Technology Solution

The adviser subscribed to ComplianceAlpha’s Compliance Management Platform (CMP) and Marketing Review Solution (MRS) modules, migrating its manual processes to a centralized, cloud-based platform that captured all of the firm's compliance activities and marketing review processes while scaling to accommodate increased compliance responsibilities and marketing volume.


Client Benefits

By adopting ComplianceAlpha to optimize its compliance and marketing review workflows, the firm was able to:

  • Accommodate increasing compliance responsibilities and marketing materials volume;
  • Update its compliance and marketing review programs via ACA’s Master Reference Library;
  • Automate and organize compliance activity tracking via the CMP module's compliance calendar; and
  • Focus its compliance team on higher-value items rather than manual tasks.

For More Information

For more information on ComplianceAlpha, click here.

About the Author

Glen Froio, Partner at ACA Technology Solutions, is responsible for leading the organization’s expansion into global markets and its next phase of growth as a technology innovator. Glen enjoys working with ACA Technology’s clients, helping them solve their most complex technical challenges and improving their business efficiency. He was a founding partner and CEO of NorthPoint prior to partnering with ACA Compliance Group to establish the new division, ACA Technology Solutions. Along with his executive team, Glen led NorthPoint from a start-up operation to a leading provider of financial software solutions to the capital markets. Prior to joining NorthPoint, Glen was the Senior Vice President of Operations and Business Development for Stride and Associates, where he mentored and led a team of over 350 employees across 27 offices and 18 cities. Glen was responsible for sales and marketing strategy, growth and development of the senior management teams, forecasting and execution against sales goals, and driving operational excellence throughout the firm.

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