The “Investor Choice Act” would prohibit b/ds and advisors from mandating client arbitration. Additionally, PIABA and other investor advocates are pressuring the SEC to ban the practice.
Wealthspire Advisors’ Mike LaMena reveals the secret to building a national RIA with a single identity that empowers advisors to bring their “personal brand” and credibility to local communities and niche markets.
Some compliance experts took issue with a recent Michael Kitces podcast that appeared to endorse a marketing strategy that includes soliciting and reposting clients’ Google reviews.
