Who Are These People?

RIAs Wirehouse Reps Obligation to Clients Fiduciary duty to act in clients' best interests at all times Can put his firm's interests first, as long as his recommendation is for the client Compensation Model Fee-based or asset-based Fee-based or commission-based Disclosure Must tell clients of any and all fees received as compensation for their services Disclosure rules are governed by a variety of

RIAs Wirehouse Reps
Obligation to Clients Fiduciary duty to act in clients' best interests at all times Can put his firm's interests first, as long as his recommendation is “suitable” for the client
Compensation Model Fee-based or asset-

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