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Compliance and Risk Solutions for Wealth Managers
Meet regulatory obligations while mitigating reputational and financial risks.
ACA’s dedicated wealth manager practice, ACA Wealth, offers unmatched regulatory and compliance experience and expertise for wealth management firms.
Our team of expert consultants brings years of experience serving the wealth management community. Made up of former regulators, in-house CCOs, attorneys, and other compliance experts, our team brings a deep understanding of how today’s complex rules and regulations impact wealth managers.
2,000+
wealth management clients of all sizes trust ACA for their compliance, technology, and cybersecurity needs.
55+
consultants specializing in the needs of Wealth Managers, including former SEC and state regulators, attorneys and in-house compliance professionals.
Peer Insights
wealth management clients trust ACA for their compliance, technology, and cybersecurity needs.
Dedicated Expertise
consultants specializing in the needs of Wealth Managers includes former SEC and state regulators and in-house compliance professionals.
What are you looking to do?
Spinout, start a new RIA, expand into new jurisdictions, or trial a new service or strategy.
Scale your compliance program and adapt as your business evolves.
Safeguard your firm, investments, and reputation against emerging threats and changing regulations.
I’m looking to...
Launch a new RIA or transition smoothly from an existing firm
Expand or adjust advisory services to meet evolving client needs
Meet SEC and state requirements, including IAR CE compliance
Build and maintain a right-sized, audit-ready compliance program
Stay ahead of regulatory changes with proactive, expert guidance
Focus on clients while offloading compliance complexity
I’m looking to...
Address, review, and maintain regulatory obligations and documentation
Implement scalable compliance solutions that grow with my business
Outsource the compliance function to reduce expenses and increase efficiency
Provide peace of mind, knowing that compliance is handled by experts
Digitize and future-proof my compliance program with regulatory technology
Meet regulatory filing commitments and deadlines
I’m looking to...
Navigate complex regulatory requirements and new rules
Fulfill ongoing regulatory and filing obligations
Conduct a mock regulatory exam
Complete annual compliance reviews and training
Strengthen cyber risk management
Identify ESG gaps and align with evolving standards
Perform a comprehensive cyber risk assessment
Run penetration testing to uncover vulnerabilities
Leverage technology for code of ethics, employee compliance, market abuse surveillance, electronic communications surveillance, and more
What are you looking to do?
I’m looking to…
Launch a new firm or fund
Extend your presence or market into new territories or jurisdictions
Establish an U.S. ETF / European ETC / U.S. Interval Funds or U.S. Mutual Fund
Maintain business continuity while navigating geopolitical challenges (Brexit, conflicts)
Fundraise, market and grow your assets
Put in place mandatory compliance to start trading and operating
Trial or ‘Sandbox’ new fund and strategies in an incubation setting
Stabilize operational and budgetary resilience
I’m looking to…
Launch a new firm or fund
Extend your presence or market into new territories or jurisdictions
Establish an U.S. ETF / European ETC / U.S. Interval Funds or U.S. Mutual Fund
Maintain business continuity while navigating geopolitical challenges (Brexit, conflicts)
Fundraise, market and grow your assets
Put in place mandatory compliance to start trading and operating
Trial or ‘Sandbox’ new fund and strategies in an incubation setting
Stabilize operational and budgetary resilience
I’m looking to…
Address, review, and maintain your regulatory framework and documentation
Digitize and future-proof your compliance program with regulatory technology
Put in place scalable consulting solutions
Meet your regulatory filing commitments and deadlines
Outsource your compliance function to lower expenses, deliver more with less
Satisfy investor DDQs, meet standards of institutional investors
I’m looking to…
Scalable solutions for every budget
Ready to simplify compliance so you can focus on serving your clients? Schedule a strategy session with the ACA Wealth team today!
Why ACA?
You need solutions that meet your needs, fit your budget, and consider the complexity of your firm’s unique compliance requirements.
Our unique blend of regulatory compliance, managed services and technology paired with the expertise of ACA’s wealth managers practice means you’ll have access to full-service compliance solutions that can grow with you and your firm.
Here’s what you’ll get with ACA Group:
Scalable support
ACA Signature for Wealth Managers provides year-round support to assist with the development and maintenance of your compliance program.
Registration services
Registering a new investment adviser is complicated and nuanced. Let us handle the registration process for you so you can focus on important decisions that impact your business.
Mock regulatory exams
Test your firm’s readiness for regulatory scrutiny. With extensive experience guiding wealth managers through regulatory exams, we know what to look for—and how to help you navigate the process successfully.
Outsourced tasks
Electronic communications reviews, code of ethics and personal trade management, regulatory filings, annual compliance reviews, and marketing reviews take time. Maximize your bandwidth and let us do the heavy lifting so you can focus on what you do best.
Cybersecurity risk assessments
Establish the essentials needed to support your ongoing cybersecurity responsibilities while meeting increasing regulatory and investor expectations.
Innovative RegTech that’s built for you
Simplify and streamline your compliance management and trade surveillance responsibilities.
Contact us
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