How APA Differs from the others…

How APA Differs from the others…

As a Financial Advisor, you have chosen a career path which requires substantial financial knowledge, social interaction, professionalism, and confidence. Once you’ve mastered these challenges, you are ready to become your own boss.  APA is dedicated to helping you transition to Independence.  We’ve listed a few steps below, but wish to discuss these with you in depth.

1.)     Getting to know you

a)       we want to discuss why you want to break away

b)       your short and long term goals

c)       how your book of business translates to the RIA platform

 2.)     We will show you

  • the list of custodians and B/D’s from which you can choose

b)       the best custodian or B/D for you

c)       the APA Memorandum of Understanding

d)       the timeline for a smooth transition

 3.)     Personalization of Service – It’s all about you:

a) APA helps you open your new company with your own DBA

b) APA’s resources can help you develop a professional logo and website

c)  APA offers ‘free choice’ of custodians so you can be truly independent

d) APA maintains all compliance requirements, ADV Form Part 2B submissions, state filings, client brochures, client agreements, code of ethics, privacy policies, SEC Audits, books & records, policies and procedures, disaster preparedness, marketing reviews, social media surveillance, document archiving

4.)     APA’s Transition Commitment:

a) With Broker Protocol as our guide, we assist you in the proper steps leading up to your transition, including asset review and pre-transition preparation

b) APA helps prepare, organize, and mail new account docs, client agreements and more

c) APA stays with you throughout, utilizing LaserApp, LaserFiche, and e-Sig to guarantee 100% paperless account transition

5.)     APA HAS THE BEST TECHNOLOGY AVAILABLE – (with one log-in)

a)       Secure Cloud Technology – Advisor Xi

b)       Advisor View – integrated with performance reporting, client web–portal, account aggregation and document storage

c)       Advisor Rebalancing – integrated trade processing and model portfolio rebalancing

d)        Automated workflows – integrated document management, account aggregation, fee processing, eSig, LaserApp, LaserFiche; 100% paperless (you don’t really need an S/A anymore)

6.)     Administrative Support – technology training, data entry and hardware setup

7.)     Errors & Omissions Insurance – included in your platform services (1M per, 5M cap, 5K deductible)

8.)     Profit Sharing – for every $1M in production, you share in 3% of APA’s profits, immediately vested

9.)     Business Building – for every new advisor* you introduce to APA, we bonus you accordingly *(min stay 1 year)

10.)     Gain from our Prospective – APA was designed by Advisors for Advisors and their clients; you save time and money for more important things, like building your business and living well

11.)  APA offers the best take-home pay out in the business:

Revenue up to $301k pays 80%;

up to $401 pays 82%;

up to $501 pays 84%;

up to $601 pays 86%;

up to $800 pays 88%

Revenue over $801k pays 90%.

12. Life is to be LIVED…

Phone 858-436-3862 or email:

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