Compliance Solutions for Investment Advisers

Compliance Services & Solutions for Investment Advisers

ACA offers investment advisers practical compliance solutions to regulatory requirements. Our experienced team of compliance professionals—many of whom are former federal, state, and SRO regulators—understand compliance and operational challenges. They use their frontline knowledge to help clients develop and sustain strong, reliable compliance programs in the manner best suited to their firm’s needs, size, and structure.


Comprehensive Compliance Reviews

Compliance Solutions

Regulatory Registration and Filings

Registration and Filings

  • 13F, 13G, and 13H report filing
  • SEC and state registration
  • IARD administration
  • AIFMD reporting

Broker-Dealer Quick Reference Guide

Additional Offerings



ACA offers several packaged solutions for compliance support that provide assistance at varying levels.

Comprehensive C3 Solution®

ACA’s C3 Solution provides a range of services to assist investment advisers with most compliance tasks.

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Compliance Cornerstone™ Solution

ACA’s Compliance Cornerstone Solution is ideal for firms that do not require a total compliance solution. It offers investment advisers unlimited consultation, access to ACA’s library of compliance documents, a subscription to ACA’s weekly compliance newsletter, and a high-level customized compliance review. In addition, we assist clients in preparing and submitting required IARD filings.

Compliance Assistant™ Solution

For investment advisers with limited needs, ACA’s Compliance Assistant Solution includes unlimited consultation and timely updates on current rules and regulations.



To request more information on ACA’s investment adviser services, complete our contact form or call Damon Zappacosta at (212) 951-1030.