Simplifying Compliance for (Current and Future) Military Financial Advisors

Registering a new independent fee-only Registered Investment Adviser (RIA) firm is easier now than it has ever been. But for RIAs who serve military families, it is nearly inevitable that they will eventually have to register in more than one state. As the number of states in which a firm is registered grows (to as high as fourteen), compliance only gets more and more complex. This session will share APFORIA’s lessons in how to simplify your compliance by joining forces with other firms to get your number of regulators back down to one (the SEC) without sacrificing your independence.

Speakers