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The high percentage of blank responses in a section of Form ADV related to the SEC's new marketing rule could indicate that RIAs are still grappling with how to comply with the regulation, according to a new analysis from IndyFin.
Financial Services Institute CEO Dale Brown opposes the DOL decision, arguing the rule offers 'much-needed certainty' for advisors who opted to be independent contractors.
The co-founder of Third Eye Associates discusses the firm's financial planning process, including creating a personal vision statement to help clients truly understand what they need to do to align their money with their values.