The Tab for Independence
Can advisors across the spectrum afford to go independent, no matter their asset level? Opinion is mixed.
At SSG, a Focus on Compliance, Including Expert Advice for State- and SEC-Registered RIAs
Some states are shifting field examiners to handle registration duties for the “Big Switch,” says Chris Winn of AdvisorAssist; states reaching out to RIAs, says NCS’ Kellli Capitano.