With all these Unicorns lately, the market for private stock has been getting hot.  The SEC has alleged that NetCirq has violated federal securities laws regarding transactions involving Pre-IPO companies, swaps, and registration requirements.




The RIA model is growing fast right now primarily from technology and the premium service given to the clients.  Instead of being in a wire-house with out dated technology and pricing models or online broker dealers with less service, RIA’s are dominating the marketplace for wealth management!  I will be starting my journey to building an asset management firm catering specifically to client needs for wealth creation.