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A new alert from the commission’s Division of Examinations found that many RIAs are miscalculating fees and often overcharging clients, risking enforcement actions.
Shannon Spotswood, president of RFG Advisory, discusses how technology changed the way advisors interact with clients and the future of advisory platforms.
The only thing that matters for a lot of these aggregators is their bottom line and the financial arbitrage that is being catalyzed by M&A, writes Patrick Brewer of WealthSource Partners.
During a panel discussion on the new rule’s impact, one securities attorney said the DOL's interpretation on what recommendations fell under ERISA fiduciary scrutiny was “more expansive” than ever.