The commission’s Investor Advisory Committee recommended the SEC amend its advisor rules on mandatory arbitration clauses, though it didn’t ban them outright, as some investor advocates hoped.
In addition, Steward opens an Arizona office with the acquisition of a $225M RIA; Mariner brings on a $1.4B firm with professional athlete clients; and $8B Perigon recruits an advisor from Merrill Lynch.
Ryan Nauman and Envestnet PMC's Brooks Friederich discuss the blurring lines between active versus passive investment management, the importance of both approaches in a diversified investment portfolio, and the impact of innovative financial tools such as active ETFs.
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