The Opus Group of Virginia, a hybrid managing $150 million in Virginia Beach, has switched its broker-dealer and corporate registered investment adviser platforms from MML Investors Services to LPL Financial.
The firm, headed by Forrest Williams Jr., had been affiliated with MML Investors Services for 27 years.
See more adviser moves in InvestmentNews' Advisers on the Move database.
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.
