XALT RIA Forums are for financial professionals only.

No part should be construed as an endorsement by the IRS, SEC, FINRA, or any regulatory body.

© 2019 by Aliso Advisors. All Rights Reserved.

RIA Attendance terms

We're Happy To Host You!

Welcome and thank you for your consideration in attending an XALT RIA Forum. In generaly, our events are complimentary to Registered Investment Advisers who meet certain qualifications and agree to abide by the following attendance terms. Please read them carefully as they provide the basis for acceptance to the event as well as receiving travel and accommodation-related reimbursement.
 

Registration Qualification and Acceptance Terms

To ensure the quality of this event, only Registered Investment Advisers who meet the following terms will be permitted to attend:
  • Each Registered Investment Adviser (RIA) may only register once. Each RIA may only have up to two (2) participants attend.
  • Each participant must complete an XALT RIA Forum registration form and questionnaire in its entirety.
  • Each participant must be currently affiliated with an active state- or SEC-registered RIA. You must have an active registration within IARD’s Public Disclosures Database (https://adviserinfo.sec.gov/).
  • Your affiliated RIA should have at least $50 million in discretionary assets under management, per your most recent Form ADV 2A disclosures. Exceptions to this may be made on a case-by-base basis. Please contact us.
  • You must have the ability to approve new financial products. If you are dually-registered with a FINRA-registered broker-dealer, you will be asked to affirm that you have the authority to approve products outside of your broker-dealer.
  • You must complete an event-specific registration form, attendance contract, and factsheet questionnaire.
 
Upon receipt of your registration application, your minimum qualifications will be verified before registration is considered accepted. Provided there are no issues, you will receive a verification email a few days after your registration submission.
 
Any exceptions to the above terms will be made on a case-by-case basis and in the sole discretion of Aliso Advisors. A request for an exception should be made at the time of registration.
 

Airfare Reimbursement Terms

RIAs may be eligible for airfare reimbursement at XALT's Semi-Annual Forums. Each participating RIA is eligible to receive up to two (2) airfare reimbursements worth up to $600 each. To be eligible for an airfare reimbursement:
  • Participant must complete the registration form in its entirety and be accepted before the registration deadline.
  • Plane ticket must be in the name of the participant (e.g., the person who is attending).
  • Participant must have purchased the ticket himself/herself or by one’s own firm. That is, a participant cannot receive a reimbursement unless airfare was a bona fide expense (e.g., already purchased by a third-party, or points or credits were used)
  • Participant must complete airfare reimbursement form and include a copy of ticket purchase within 14 calendar days after conclusion of event.
  • Participant must arrive by Day 1 Introductions (e.g., arrive by 2:00 pm on Day 1).
  • Participant must be present during the majority of the event.
  • Participant must attend at least 8 one-on-one meetings.
Once the airfare reimbursement form is received, XALT RIA Forum will send a reimbursement check within five (5) working days after verifying all qualification terms were met. If any of the above terms were not met (and no exception was established before the event), you may not receive a reimbursement. Therefore, it is critical that you contact us  if any part of your travel will cause you to deviate from the above terms. For example, you will arrive late or need to leave early).
 

Ground Travel To and From Airport Expense Terms

Those participants arriving by air may may be eligible to receive a ride-sharing service gift card (up to two (2) participants per RIA). It is intended that this gift card be used to get the participant to and from his/her home airport, as well as to and from the conference facility’s nearest airport. Gift card codes will be emailed to participant a week before the event. Any outstanding balance remaining on the gift card after the event is free for the participant to keep. To be eligible to receive a ride-sharing gift card:
  • Participant must complete the registration form in its entirety and be accepted before the registration deadline.

Other Forms of Travel Reimbursement Terms

XALT RIA Forum recognizes that participants may choose to travel by other means than plane, such as by train or car. We may be able to provide reimbursement for other travel means, provided they are not more expensive than $600 per participant. Such exceptions will be made on a case-by-case basis. To be eligible for other forms of travel reimbursement:
  • Participant must complete the registration form in its entirety and be accepted before the registration deadline.
  • Request for other forms of travel reimbursement must approved by XALT RIA Forum before any such expenses are incurred.
 

Hotel Expense Terms

Participants may be eligible for hotel expense reimbursement at XALT's Semi-Annual Forums. Each participating RIA is eligible to receive up to two (2) hotel rooms for up to two (2) nights, specifically for the first two days of the event. XALT RIA Forum will book your hotel room(s) for you after your registration is complete and accepted. To be eligible to receive a complimentary hotel stay for two nights:
  • Participant must complete the registration form in its entirety and be accepted before the registration deadline.
XALT RIA Forum will only cover the cost of the hotel room. Each participant is responsible for his/her incidentals, such as room service and mini bar items, and will be asked to provide a credit card to the hotel at the time of check in to cover such items.

Other Expenses Not Covered

While XALT RIA Forum has attempted to cover every major foreseeable expense, it recognizes that the participant may incur other expenses related to this event. Please note that XALT RIA Forum will only cover the expenses outlined above and not any other incidental expenses. This includes, but it not limited to: parking fees, meals and snacks during transit, guest-related travel costs, air and hotel upgrades, entertainment, communication-related expenses, etc.​

Dress Code

Dress code is casual. Be comfortable. 
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