Pacific Northwest Retirement Planners, a hybrid managing $220 million and based in Portland, Oregon, has switched affiliations to LPL Financial from KMS Financial Services, which is part of Advisor Group.
Father-and-son advisers Tom and Bill Smothers manage the firm, along with Tom’s son Bryan, who serves as office manager. Most of the firm’s clients are located in southeast Alaska.
Pacific will use the corporate registered investment advisory platform of LPL, as well as its broker-dealer.
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.
