Knut joins members of the RIA community in pointing out the confusion in RIA rankings and which firms are fee-only and/or fiduciaries.
Advisor News
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.
Investor Advocates Call for Revamped Form CRS
Investor protection advocates want the Securities and Exchange Commission to revisit and revise its Form CRS.
Fiduciary Backers Seek ‘highest legal standard’ in Form CRS Disclosures
The Institute proposed a redesigned Form CRS, which provides a side-by-side comparison of advisers and brokers.