RJ and Makay

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Investment advisors that manage assets between $25 million and $100 million who are switching from federal to state registration this year are facing uncertainties, particularly those that will be falling under the jurisdiction of multiple states. While some industry observers believe that state regulators will be taking an adversarial stance with the advisors, state regulators say that is not necessarily the case and urge advisors to use regulators as a resource to help with the transition.