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Related Information Dickinson Regulatory Alliance LLC is a professional consulting firm offering regulatory compliance, expert witness, and practice management services to financial industry professionals. Davids Quietly Challenging Goliaths "The growth of assets and number of advisors in the RIA industry is extraordinary, and the drivers of the growth are wirehouse brokers." – Registered Rep Fees and expenses: It's about fiduciary responsibility "Why is so much attention being focused on fees and expenses, and not on some of the other fiduciary duties, such as the fiduciary's duty to select and monitor investment options prudently? The answer is quite simple: It's the source of the most abuse; it's the easiest fiduciary breach to detect in an audit; corrective action can generate immediate relief; and it's the easiest breach to argue before a judge and jury." – Investment News The Cost of Inefficiency "Operations staff must become as vital to advisory firms as investment advisors are today," this report says. "Successfully deployed operations enhance a firm's ability to translate client advice into profitability, leverage and growth." According to the study of 41 diverse RIAs, the result of such an investment is undeniable; firms with a chief operations officer see their revenue leap 189 percent compared to firms without. – Financial Planning

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