After long dismissing the financial advisor business, alternative managers have changed their tune and recently made big bets in the space, launching their own private wealth divisions to draw new money from advisors across all channels, and create products that are more broadly accessible to individual investors.
Advisors considering change want something more than what they have at their current firm. The good news is that there are plenty of options to choose from. That’s the bad news, too.
'The 2022 Report on FINRA’s Examination and Risk Monitoring Program' also looks at firms’ Form CRS compliance and approaches in working with clients via mobile apps.
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