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RIA to Pay $115K Fine Over Custody Rule Violations
News January 02, 2025 at 03:53 PM
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What You Need To Know
- Driftwood Advisors advises three pooled investment vehicles.
- In August, the firm said it had about $821 million in regulatory assets under management.
- The firm failed to timely distribute audited statements to investors in pooled vehicles it advised, the order states.
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