RIABiz

News, Vision & Voice for the Advisory Community

RIABiz

CONCERT attracts $1.7 billion of 'AUA' after its AUM attracts the unwanted attention of the SEC

The SEC found that the 'wirehouse lite' company was light on truth about its AUM and made it pay

Author Irwin Stein August 4, 2016 at 10:09 PM
0 Comments
no description available
Felipe Luna is touting the signing of 14 independent advisors but notes their $1.7 billion in AUA won't show up as AUM.

Felipe Luna

|

Paul Spitzer

|

Keith Krueger



Mentioned in this article:

Advanced Practice Advisors
Advisory Firm
Top Executive: Paul Spitzer

Omniscient Enterprise Advisor
CRM Software
Top Executive: Felipe Luna



RIABiz Directory

The Industry Sourcebook for RIAs

   |    LISTING


RIABiz Directory sponsored by:

Directory Sponsor Logo

White Paper Postings


Common Tags


Recent Articles


Popular Writers


RIABiz logo

RIABiz

About Us

Directory

Archives

Connect

RIABiz, Mill Valley, California
Copyright © 2009-2024 RIABiz Inc. All rights reserved.