Daryanani, Gobind
June 2008
Journal of Financial Planning;Jun2008 Trends in Investing, Vol. 21, p16
Academic Journal
The article reports that investment data reveals that most investors are either individual investors or work with broker-dealers (B-Ds). The author states that the apparent public awareness of using B-Ds as opposed to registered investment advisors (RIAs) is significant, and as a result RIAs possess a smaller target market. The U.S. Securities and Exchange Commission (SEC) conducted a RAND Corporation study to determine the difference in clients' awareness concerning RIAs and B-Ds. They discovered that there is a difference in market share and public awareness for high-net-worth investors regarding B-Ds and RIAs.


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