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ICA’s Essential Services are built for experienced in-house CCOs who want a trusted consultant. This tier offers tailored policy and procedure support, plus access to ICA’s monthly CCO checklist and essential compliance resources.
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Fundamental Services support new and experienced CCOs seeking ongoing collaboration. ICA consultants assist with monthly testing and provide proactive guidance, including a risk assessment and mock audit to strengthen compliance programs.
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Integrated Services offer ICA’s most involved partnership—ideal for CCOs who want to fully leverage ICA for monthly testing and maintaining exam-ready records. Clients receive hands-on support, a risk assessment, and a mock audit to embed compliance.
Product Description
About this Product
Turn-key compliance program built for SEC & state RIAs:
- Expert-led RIA registration & compliance setup
- Tailored testing, reviews, and risk oversight
- Guided workflows aligned to SEC/state exams
About Integrated Compliance Advisors
Integrated Compliance Advisors delivers expert-driven compliance solutions designed specifically for SEC/ state-registered RIAs. From initial registration to audit prep, our consulting-led approach combines centralized document management, testing schedules, policy automation, and issue tracking. Advisors gain access to hands-on support, streamlined workflows, and regulatory insight to maintain readiness year-round. Whether navigating annual reviews or responding to exams, we help firms reduce risk, stay aligned with changing regulations, and grow confidently within a tailored compliance framework built for modern RIA practices.
Product Details
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Integration Capabilities
Serving RIAs Since
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0719-93C0
API integration is available through Schwab OpenView Gateway®, which is provided by Performance Technologies, Inc. (“PTI”). Single sign-on is provided by PTI. Daily data files and trading integration are available through Charles Schwab & Co., Inc. ("CS&Co"), a registered broker-dealer and member SIPC. Not all third party providers listed on this site have integration agreements with Schwab. Schwab OpenView Gateway® is a service of PTI.
References to third parties on this site (whether such parties are vendors participating in a service of PTI or independent advisors using a service of a participating vendor) are not an endorsement or recommendation of, or an opinion (favorable or unfavorable), or advice about, or a referral to any product or service of any third party. Advisors are solely responsible for evaluating, selecting, and purchasing products and services offered by third party vendors. Unless indicated otherwise, third parties are independent and not affiliated with PTI or its affiliates.
Schwab Advisor Services includes the custody, trading, and support services of Charles Schwab & Co., Inc. ("CS&Co"), a registered broker-dealer and member SIPC, and the technology products and services of PTI. PTI and CS&Co are separate companies affiliated as subsidiaries of The Charles Schwab Corporation, but their products and services are independent of each other. PTI’s integration solutions integrate data about accounts custodied at CS&Co.
Access to Electronic Services may be limited or unavailable during periods of peak demand, market volatility, systems upgrade, maintenance, or for other reasons.