COMPLIANCE ADVISORY
US Investment Advisers Act of 1940 and SEC Adviser Rules (17 CFR Part 275) Readiness Advisory
Score your readiness for free, then turn the results into a plan in a 30-minute strategy call with Ivanka, co-founder of The Art of Service, which has trained 54,000+ professionals across 160+ countries.
Why work with Ivanka on US Investment Advisers Act of 1940 and SEC Adviser Rules (17 CFR Part 275)
The federal regime for investment advisers in the United States: who must register with the SEC or the States, the Form ADV, brochure and relationship summary disclosures, five-year books and records, insider trading procedures and the code of ethics for access persons, the limits on performance fees and assignment of advisory contracts, the antifraud provisions with their principal-trade consent…
Compliance work stalls when it is treated as a checklist. Ivanka treats US Investment Advisers Act of 1940 and SEC Adviser Rules (17 CFR Part 275) as a strategic decision: what matters most for your organisation, what to do first, and what your leadership team needs to understand. For 25 years she has built The Art of Service, whose compliance platform now covers 1,062 frameworks.
The free readiness assessment scores your organisation against the 23 controls across 7 domains of US Investment Advisers Act of 1940 and SEC Adviser Rules (17 CFR Part 275). The strategy call turns those scores into priorities.
Relevant credentials
- Co-founder of The Art of Service, which has trained 54,000+ professionals across 160+ countries
- MIT Entrepreneurial Masters Program graduate
- EXIN Expert Panel member
THE STRATEGY CALL
What you get in 30 minutes
Ivanka reviews your US Investment Advisers Act of 1940 and SEC Adviser Rules (17 CFR Part 275) readiness scores with you and agrees which gaps matter most. Specific to your results, not generic advice.
A clear, prioritised plan for addressing gaps across 7 domains: what you can build on from existing work and what needs new investment.
How US Investment Advisers Act of 1940 and SEC Adviser Rules (17 CFR Part 275) fits with the other obligations you already manage, so it strengthens your existing programme instead of running beside it.
Domains covered in US Investment Advisers Act of 1940 and SEC Adviser Rules (17 CFR Part 275)
Plus 1 additional domains. See the full assessment →
This is for you if
- You need to achieve US Investment Advisers Act of 1940 and SEC Adviser Rules (17 CFR Part 275) compliance but don’t know where to start or how to prioritise
- You’ve been told you’re “compliant” but suspect gaps exist that haven’t been properly assessed
- You manage compliance for registered investment advisers, private fund, hedge fund and venture capital advisers, wealth management and financial planning firms, robo-advisers, bank and insurance affiliated advisory units, dually registered broker-dealer and adviser firms, fund administrators and compliance consultants serving advisers organisations and need expert guidance, not generic templates
- You want to leverage existing compliance efforts across multiple frameworks rather than starting from scratch
- You need a strategic plan your leadership team and board will actually understand and support
Start with a free assessment. Then let's talk strategy.
Take the free US Investment Advisers Act of 1940 and SEC Adviser Rules (17 CFR Part 275) readiness diagnostic. In 5 minutes you'll have a clear picture of where your gaps are. Then book the strategy call and Ivanka will help you decide how to close them.
Free · No login required · Results in 5 minutes
Or go directly to the $149 Report + Strategy Call