SEC-REGISTERED UMBRELLA RIA ● FEE-ONLY ● FIDUCIARY
The Compliance Infrastructure Behind Independent Advisory Practices
APFORIA provides SEC registration, outsourced compliance, and back-office support so independent fee-only financial advisors can focus entirely on serving clients, not regulators.
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Regulator (SEC only)
Fee-Only
No commissions. Ever.
Fiduciary
Always in clients’ interest.
Collaborative Network
Join a collective of like-minded fee-only advisors sharing knowledge, best practices, and referrals.
SEC Registration
Centralized registration for you and your adviser representatives under one SEC-registered entity
Compliance Management
Dedicated CCO oversight, annual training, structured compliance tasks, and code of ethics enforcement
Transition Support
Structured onboarding and business continuity planning to make your transition seamless.
Meet Our Leadership Team
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Paul Allen, CCO
IACCP®, CFP®
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Adrienne Ross, CFO
CFP®, ChFC®, AFC®, MQFP®
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Sean Gillespie, CEO
MQFP®