Some large RIA principals are emerging as both gatekeepers and early-stage investors for tech startups with the potential to transform the advice industry.
After the Dow Jones Industrial Average and the S&P 500 fell more than 4 percent in one trading session, many advisors said they were expecting a market correction and had prepared clients for it.
Reports of our imminent demise are greatly exaggerated. We can justify our fees in an age of digital disruption by staying relevant and enriching the lives of our clients.
Up to 30 percent of monetary awards to investors in arbitration claims go unpaid, the self-regulator said. “It’s crystal clear this is and remains a huge problem for FINRA and therefore for investors,” says PIABA President Andrew Stoltmann.
