RIAs and their compliance executives are worrying that the SEC is muddying the waters more for consumers by making all financial professionals look the same.
Advisor News
What to Know About Fee-Only Financial Advising
Katie Oelker, a personal finance writer at Business Insider, explains fee-only financial advising.
RIA Leaders 2021: What’s wrong with RIA rankings
Knut joins members of the RIA community in pointing out the confusion in RIA rankings and which firms are fee-only and/or fiduciaries.
Say Goodbye to the 1% Investment-Adviser Fee?
Innovative fee models are challenging the 1% assets-under-management fee that has traditionally dominated the investment advisory world.
All’s Quiet on the Reg BI Front
The SEC has been intense about ESG and wait-and-see on Reg BI. But investor advocates are optimistic about the “most investor-centric commission in 20 years.”
Crown Capital Ordered to Pay $1.6M to Settle SEC Disclosure Case
A broker-dealer has been fined by the SEC after allegedly failing to disclose its conflicts of interests.