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Compliance for breakaway RIAs

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For many breakaway advisors, taking ownership of your own compliance function and managing risk is a cause for anxiety. The cost, complexity and time involved can detract attention from revenue-generating activities that are crucial for the strongest possible start. If you are exploring independence in 2023, join us for a webinar to learn how to create an efficient compliance program that meets regulatory requirements while you transition.

Topics we'll cover: 


  • Compliance basics
  • Crisis management
  • A day in the life at your new firm
  • Live Q&A with AdvisorEngine’s Lead Compliance Strategist, a veteran CCO

Watch on-demand

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