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CONCERT attracts $1.7 billion of 'AUA' after its AUM attracts the unwanted attention of the SEC

The SEC found that the 'wirehouse lite' company was light on truth about its AUM and made it pay

Author Irwin Stein August 4, 2016 at 10:09 PM
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Felipe Luna is touting the signing of 14 independent advisors but notes their $1.7 billion in AUA won't show up as AUM.

Felipe Luna

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Paul Spitzer

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Keith Krueger

CONCERT

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Aequitas Capital Management

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Advanced Practice Advisors
Mentioned in this article:

Advanced Practice Advisors
Advisory Firm
Top Executive: Paul Spitzer

Omniscient Enterprise Advisor
CRM Software
Top Executive: Felipe Luna

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