Posted by DigiNomad on 24th of Apr 2023 at 05:13 pm
There's no info to pass along. Just look at any RIAs ADV Part I
and you will find a section where they are able to disclose trading
alongside client accounts.
I've had multiple state regulators tell me during the initial
review that they had never seen any advisor do the entire process
without professional support (of course, we wouldn't have had any
conversation if I got it all right the first time through, lol).
This is probably an area that is typically handled by attorneys and
specialists and most advisors haven't even seen an ADV Part I or II
(I know I never saw one when I was at ML).
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I will take a look,
Has anyone read the old Forbes mag. lately? Picked up ...
Posted by junkie on 24th of Apr 2023 at 05:12 pm
I will take a look, please pass along the info . You have tickled my curiosity :-)
There's no info to pass
Posted by DigiNomad on 24th of Apr 2023 at 05:13 pm
There's no info to pass along. Just look at any RIAs ADV Part I and you will find a section where they are able to disclose trading alongside client accounts.
I've had multiple state regulators tell me during the initial review that they had never seen any advisor do the entire process without professional support (of course, we wouldn't have had any conversation if I got it all right the first time through, lol). This is probably an area that is typically handled by attorneys and specialists and most advisors haven't even seen an ADV Part I or II (I know I never saw one when I was at ML).