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Disciplined Capital Management, LLC (DCM) were themselves disciplined by the SEC. DCM failed to file and deliver to clients Form CRS. They were fined an censored. DCM used Charles Schwab as there broker dealer custodian. I called and emailed DCM to see if Schwab terminated their contract. They did not respond. DCM had nearly $500M under management.


The noose is loose when you have AUM. When your AUM is low - if you snooze you lose!

 
 
 

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26. Nov. 2022

Matchup Of The Recreation: Burrow Faces Common PBS Landmark Within just Vikings DefenseBurrow starts off his instant year as a single of the sizzling more youthful elements of the Zooming '20s with far more enter inside of the recreation system and independence at the line of scrimmage than his starter 12 months. Zimmer, the crusty previous college or university brain prepare within his 8th period in just Minnesota, returns in direction of the planning for the 1st season within a month to month time match wherever he produced the Bengals a string of playoff defenses for the duration of the earlier 10 years. Zac Taylor, Joe Burrow fired up in direction of faucet into the electrical power of the admirers…


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Broker Dealers seem quite casual, if not indifferent, to informing RIA clients that they have terminated the contract with their advisor. Almost like telling a motorist he left his car lights on. Broker Dealers refer to these individuals as account holders, while RIA's refer to them as clients. If you ask a compliance person at a Broker Dealer how the recipients of the notice of termination are likely to "feel" after receiving notice, they will show you that they have not given the matter much thought, and really don't care. 

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