Why (Most) Advisors Shouldn’t Serve As Clients’ Trustees: Ethical Conflicts, Dual Fiduciary Duties, And The SEC Custody Rule
Intense Life Desires Financial advisors are used to having close and trusting relationships with their clients, given the...
Custody
The RIA Custody Rule: Understanding Hidden Triggers That Create Compliance Risks
Safeguarding client assets is one of an RIA’s most fundamental duties – and a core...
Creating An Alternative Custody Fee Model To Offer Advisors Better Fiduciary Alignment
Financial advisors at RIAs have a fiduciary obligation to their clients, which includes both a...