You will briefly be registered at your original firm and APFORIA during the onboarding period. Once all your clients are transitioned to APFORIA, you will file a U5 and an ADV-W for your original firm and be registered only at APFORIA. After that, we do not permit our adviser representatives to be registered at other investment adviser firms.

No, APFORIA does not have custody of client funds or securities.

No, APFORIA does not offer any direct client-facing services. All the adviser representatives of APFORIA are employed at Tenant Firms with the exception of our CCO, Paul. (And he is too busy with compliance and his tax business to provide investment advice to clients!)

Absolutely! You worked hard to build trust and understanding with your clients. We could not serve them as well as you. If you want to leave, we want you to take your clients with you.