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Lewis Chamberlain: Investors should beware of hypothetical success Record-Searchlight Through a fee-sharing arrangement with your financial adviser, these registered investment advisers can directly manage your portfolio and may enhance your standard of care by freeing your adviser to provide additional layers of support. Hiring a third ... See all stories on this topic » | ||
Standing on the edge InvestmentNews "Our clients are generally pretty angry about this, but that's been a common state of mind for them over the last few years," said Rick Kahler, a registered investment adviser and president of Kahler Financial Group Inc. Many of his clients are ... See all stories on this topic » | ||
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Navigating the Regulatory Maze for Investment Advisors - SEC ... As part of an effective compliance program investment advisers must conduct due diligence not only when selecting investments for clients but also when ... www.ria-compliance-consultants.com/.../sec-guidance-for-inve... |
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