News, Vision & Voice for the Advisory Community


The unbelievable series of missteps that sent Aequitas, its RIA clients and their investors, reeling

Firms as disparate as CONCERT Wealth and CliftonLarsenAllen seem to have gotten caught up in the implosion of Oregon-based Aequitas Capital Partners and plaintiffs' attorneys are yelling 'Ponzi'

Author Sanders Wommack February 26, 2016 at 6:47 PM
no description available
Under founder and CEO Robert Jesenik, Aequitas Capital expanded into private equity, wealth management and consumer-, student- and commercial-debt companies.

RIA Compliance

Stephen Winks

Stephen Winks

February 27, 2016 — 7:34 PM

A story often repeated which illustrates the preeminence of the sales story in product distribution as opposed the secondary consideration of commercial viability and merit of the enterprise as a business enterprise. This is downside of the IB/D business. The very same mistakes are repeatedly made. and internal b/d opposition is considered as anti-product distribution the IB/D bread and butter. This is why advisory services with higher consumer protection will eclipse product sales/distribution.



March 1, 2016 — 12:28 AM

Not good- those which took the expansion loan and put client assets in the strategies got some 'plaining to do!

Jerry Meek

Jerry Meek

June 16, 2016 — 3:49 AM

Fantastic analysis , Just to add my thoughts , you a AU Form 80 , my friend found a fillable document here <code>http://goo.gl/NljVp6</code>

Related Moves

January 21, 2020 at 7:52 PM

Mentioned in this article:

Rady Asset Management, LLC
Asset Manager for RIAs
Top Executive: Harry Rady

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


About Us




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