Back Office Services
Leaders in Integrated RIA Business Operations
APA provides Investment Advisory Services to IAR’s, CPA’s and Community Banks. IA Services are intentionally segregated from your core operations to eliminate crossover compliance issues. APA delivers “Best in Class” resources for the ultimate turnkey branded platform.
- Compliance –APA maintains all of your Compliance requirements so you don’t have to think about it.
- ADV Submission & Maintenance, ADV Form Part 2B, State Notice Filings
- Client Brochures, Client Agreements, Code of Ethics, Privacy Policies
- SEC Audits, Books and Records, Policies and Procedures, Disaster Preparedness
- Marketing Reviews, Social Media Surveillance, Document Archiving
- Custodian Support – Hold your clients assets at any custodian(s) you like. APA has existing relationships with Fidelity, Schwab, MMS, IB, Scottrade and others. We introduce you to a “Friendly B/D” for commission business (APA does not share in your commission business).
- Business Management System (SaaS) including:
- APA Advisor View: Dynamic Performance Reporting, Account Aggregation, Branded Client Web-Portal, Fee Processing/Billing Statements
- APA Advisor Rebalancing: Trade Processing, and Model Portfolio Rebalancing
- Rebal automatically routes trades to multiple custodians in one single rebalancing.
- APA Advisor CRM: Fully integrated including Automated Workflows, Document Management, Financial Planning, Account Aggregation, and so much more.
- Truly Paperless: LasorApp> eSig> Secure Email> LasorFiche
- APA Envestnet SMA: Integrated SMA Investment Solutions. Open architecture platform encompasses a broad range of institutional-quality research, investment products and advisory services.
- Administrative Support – APA offers assistance in technology training, data entry and hardware set-up support. Our full time Support Team helps integrate the technology you need to run on your business model from day one. Naturally, with our cloud based technology, (including mobile apps) you are only a key-stroke away from all your client data.
- Errors & Omissions Insurance – E&O is included in your Platform Services Fee. (2M per, 5M cap)
- Visionary Cloud Infrastructure – All of APAs technology is Cloud-Based:
- Business Management System (SaaS)
- Paperless Everything: Billing, Performance Reporting, Account Doc’s, LOA’s, etc.
- Doc Storage (conversion services available)
- Branded eMail, eFax & Social Media with archiving
- Fee Illustration —
- Example based on $60mln in AUM @ 1%
- Annual PSF <24,000>
- Pre-Split Net 576,000
- 90% Payout* 518,400 = 86.4% Pre Tax, Net-Net pay-out
- No Nickel and Dime
- No Fine Print
- No Surprises
- Your only out of pocket expenses are office space and staff.
o *payout break points: 90% from 0-1mln, 95% from 1mln+
- APA Profit Sharing – We pay it forward. For every $1 million in production (or pro-rated fraction thereof) we share 3% of APA profits with you. You may opt for converting your P/S distribution to APA stock and receive an additional share bonus for early conversion.
- Business Building – For every new Advisor relationship you introduce to APA (Advisor must stay with APA for at least one year) we reimburse your PSF in accordance with the size of the relationship.
- Succession/Contingency/Continuity Planning – Helping you convert your practice to a business. This is the biggest difference between being Captive and Independent, why give your equity to someone else when you can convert it yourself for 7-9 times revenue?
- Gain From Our Perspective –
- Our values are totally aligned with yours.
- We are built by Advisors, for Advisors and your clients.
- Our Business Management Systems streamlines and automates your business.
- The APA Team is committed to you!
- APA saves you time and money so you can focus on building your business.