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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