Sullivan Financial Services Inc., a Las Vegas-based advisory firm that manages more than $200 million in client assets, has moved to Avantax after being affiliated with LPL Financial, Avantax announced.
Tom Sullivan of Sullivan Financial had been affiliated with LPL for 24 years, according to the statement.
Sullivan cited Avantax’s products as an attraction, saying that “things like 1031 exchanges are important to us.”
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.
