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Still Living the Lie

Schwab continues to insist they want small RIA's. They continue to insist they do not discriminate against small RIA's. Yet, they will terminate a small RIA for swearing on the phone, and allow a larger RIA, who stole money from client accounts, to stay on their platform. Google Richard T Diver and see what he did to hundreds of RIA account holders. He worked for M&R Capital before he went to prison. M&R Capital custodies with Charles Schwab. They have $500M AUM.


And do you know how Schwab terminates RIA contracts? Well, one thing they do is write a letter to every RIA client....

 
 
 

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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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