The charges against Michael and David Sztrom were filed late last week and are one of two complaints against advisors related to a California-based RIA.
As chair of Maryland's Financial Consumer Protection Commission, Gary Gensler advocated for a client-first fiduciary standard for broker/dealers as well as 'anyone who holds themselves out as an advisor.'
With last week's violence at the Capitol and this week's presidential inauguration weighing on Americans' minds, advisors must consider if and how politics should arise in conversations with investors.
A Hartford, Conn.–based team partnered with RIA support platform Integrated Advisors Network to go independent and expand client access to alternative investments.
With a team of three other co-founders, Jud Mackrill is launching an 'integration as a service' company, called Milemarker, to help advisors better understand the data within their firm.
