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My Email to Tom Bradley and John Tovar:

Dear Tom Bradley and John Tovar,


HCR Wealth Advisors, per the latest ADV filed on 10-31-2021 had $1.2B AUM. They custody with you. Recently the SEC fined and sanctioned them for not supervising reps. One rep stole $1.2M from a client. An RIA with $17M AUM was terminated from the Schwab platform because he logged on through the retail client portal rather than the adviser portal. When you terminated this RIA you notified every one of his clients.

You 2 claim to be advocates for the small advisers. So can you explain this double standard?

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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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