Keith Boyd, a Flemington, New Jersey-based adviser who managed $180 million on the bank brokerage platform of Wells Fargo, has affiliated with LPL and will use its registered investment adviser platform.
Boyd will operate through Gladstone Wealth Partners, an LPL office of supervisory jurisdiction, using the Gladstone name for his firm and operating from a Gladstone accounting practice.
Boyd had been with the bank and a predecessor since 1996.
Despite a lighter regulatory outlook and staffing disruptions at the SEC, one compliance expert says RIA firms shouldn't expect a "free pass."
FINRA has been focused on firms and their use of social media for several years.
RayJay's latest additions bolster its independent advisor channel's presence across Pennsylvania, Florida, and Washington.
The deal ending more than 30 years of ownership by the Swiss bank includes six investment strategies representing more than $11 billion in AUM.
Divorce, widowhood, and retirement are events when financial advisors may provide stability and guidance.
How intelliflo aims to solve advisors' top tech headaches—without sacrificing the personal touch clients crave
From direct lending to asset-based finance to commercial real estate debt.
