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In the SEC proposal, RIAs would not be allowed to outsource to third parties unless they meet certain new requirements; some say the rule would be an extra burden for smaller advisors.
A United States District Court found that two Cetera firms failed to disclose conflicts of interest to advisory clients when recommending investment funds and taking 12b-1 fees, shared revenue, administrative fees and mark-ups.
The most-promising growth opportunities are not outside the doors of an advisory firm, but inside, said industry executives, speaking at Riskalyze’s Fearless Investing Summit this week.
Jeff Boudjouk shares his harrowing journey and how he and his partner Anthony Landi found a new home in independence with Kestra Private Wealth Services as Northeast Investment Group.