Jack Bruno to Join RIA Compliance Best Practices Panel at Raymond James EMPOWER

Bates Group is pleased to announce that Managing Director Jack Bruno, CRCP, will participate in a panel discussion at Raymond James EMPOWER, taking place October 25 to 28, 2026, in Tampa, Florida.

The breakout session, RIA Compliance Best Practices, will examine the supervisory and regulatory questions facing advisory firms today, including documentation and evidencing of supervision, fee-billing, conflicts of interest, and examination readiness.

EMPOWER brings together RIAs and broker-dealers affiliated with Raymond James through correspondent and custody relationships. For firms operating under both broker-dealer and investment adviser registrations, supervisory obligations frequently overlap without aligning, and the gaps between the two regimes are where examination findings tend to surface.

Jack Bruno advises investment advisers, broker-dealers and dual registrants on supervision, examination preparation, and regulatory response. If you’ll be in Tampa, connect with Jack on-site or reach out to him directly.