Does APFORIA permit adviser representatives to be registered at multiple investment advisers?Paul Allen2024-12-18T20:02:43-05:00
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.
Does APFORIA have custody of client funds or securities?Paul Allen2024-12-18T19:58:48-05:00
No, APFORIA does not have custody of client funds or securities.
Can I keep my clients if I decide to leave APFORIA?Paul Allen2024-12-18T19:52:01-05:00
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.