Dynasty Financial Partners LLC has hired Loren Morris as director of RIA services
Although many federally registered advisers were scrambling last week to meet the March 31 filing date for the new ADV Part 2 forms, state-registered advisers in several states, including Michigan, Pennsylvania and Texas, were enjoying a bit of a reprieve
The frustration felt by advisers about the growing wave of regulation and failed attempts to influence policy erupted last week at a town-hall-style meeting in Las Vegas.
Although many federally registered advisers were scrambling to meet yesterday's filing date for the new ADV Part 2 forms, state-registered advisers in several states, including Michigan, Pennsylvania and Texas, were enjoying a bit of a reprieve.
Flooded with last-minute calls from registered investment advisers who haven't filed their new plain-English ADV Part 2 forms, compliance consultants estimate that a third or more of them will miss the Securities and Exchange Commission's Thursday deadline
Plain-English disclosure document would describe services, conflicts and limitations on duties
This may come as no surprise to reps, but a report released this week said the Commission needs to dramatically beef up its oversight of Finra.
Fakahany was seeking $70M in claim against former employer; 'totally incorrect'
Maybe plain-English writin' ain't as easy as RIAs thought; better late than error
It took a long time, but Kevin Carreno has been vindicated
