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Articles tagged "Paul Spitzer"

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Felipe Luna is touting the signing of 14 independent advisors but notes their $1.7 billion in AUA won't show up as AUM.

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

August 4, 2016 at 10:09 PM

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