RIABiz

News, Vision & Voice for the Advisory Community

RIABiz

What the ADV form of Kenneth I. Starr's RIA reveals and what to make of it

It appears that Starr had his son, Ronald, as chief compliance officer

Author Elizabeth MacBride June 4, 2010 at 5:03 AM
0 Comments
no description available
Les Abromovitz: The SEC has extremely high expectations for people serving as chief compliance officers.


Related Moves

November 18, 2022 at 2:56 AM


Mentioned in this article:

NCS Regulatory Compliance
Consulting Firm
Top Executive: Mark Alcaide, COO/Partner



RIABiz Directory

The Industry Sourcebook for RIAs

   |    LISTING


RIABiz Directory sponsored by:

Directory Sponsor Logo