Many financial advisors are currently considering evolving their practices to the Hybrid RIA model, with dual registration under both the Financial Industry Regulatory Authority (FINRA) and the Securities Exchange Commission (SEC). When starting a hybrid firm, there are new compliance responsibilities that need to be evaluated against the Hybrid RIA firm benefits which includes greater business control and flexibility, breadth of product and service offering, and increased profitability, all within a rapidly evolving regulatory landscape. Follow a panel of compliance and legal experts as they answer a number of questions about managing these important elements of the RIA business model. This overview includes:

• What are the key issues in establishing a hybrid RIA?
• What type of compliance support is available to a hybrid RIA business model?
• What are the legal aspects of becoming a hybrid RIA?
• What are the new regulatory blueprints for RIAs and hybrid RIAs?

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