Joel Drake, who manages $200 million in Des Moines, Iowa, has changed his broker-dealer affiliation and registered investment adviser platform to LPL Financial from FSC Securities, part of the Advisor Group.
Drake affiliated through an LPL office of supervisory jurisdiction, The Wealth Consulting Group, and will use its office in Des Moines.
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.
