Some dispute that the recent SEC document request letter on business development companies that we shared with you comes from a sweep exam (IA Watch, ...
You can assume Andrea Sayago’s busier than the average CCO – given that she’s the named CCO for 11 RIAs.
Like Sayago, Cheryl Vohland’s name comes up...
KMS Financial Services ($5.9B in AUM) in Seattle freely disclosed in its Form ADV that it had a relationship with a clearing broker. The dual-registra...