RIA Compliance for Breakaways – How to stay safe when you go RIA

If you are one of the many advisors looking to go independent this year, this panel discussion about compliance is something you will not want to miss. You already know the potential rewards of going independent. Now learn how (relatively) easy it can be to keep yourself and your business safe – especially in this highly regulated environment.

• How can I leave a “Non-Protocol” firm (and survive)?
• How much will it cost for me to stay in compliance once I go RIA?
• What technology can I use to make RIA compliance easier?