Chris Winn is a Managing Principal and Co-Founder of AdvisorAssist, a comprehensive service dedicated to supporting the regulatory, compliance, strategy and operations needs of new and existing Registered Investment Advisors (RIAs). AdvisorAssist has assisted hundreds of firms with the start-up of their RIA; design of their compliance and operational infrastructure; and developing an executable business strategy.Chris Winn
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Registrations Are Not Optional
Last night, an unfortunate public statement was issued by Ron Rhoades, Chair-Elect of NAPFA, regarding his failure to timely register his firm and himself as an investment adviser representative in Florida.
You can stop reading if you are looking for someone to bash Mr. Rhoades with a "you should know better" lecture. His statement already acknowledges this point.
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