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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Jordyn Bashore
Office Administrator
& Marketing Assistant
Madden Theodore
Chief Emotional
Support
Real Experiences.
Real Results.
Discover How We’ve Helped Our Clients Thrive.
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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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.
