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Summary: That’s the message state securities administrators stressed while noting the massive jump in deficiencies found earlier this year in their bulked-up examinations of smaller RIAs. Andrea Seidt, the chairwoman of the North American Securities Administrator Association’s Investment Adviser Section, warned advisors about the trend toward new fee setups.
 AUM is still there, and in a major way. But I think more advisors are gravitating towards that flat fee model. So something tells me that we as a membership association and them as regulators, we need to get together to talk about what this means."Geoff Brown, CEO, NAPFA |
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