Patrick Fontana and Michael Dunham, who managed $200 million at Merrill Lynch in Dallas, have joined Wealth Partners Alliance, a firm affiliated with Raymond James.
Launched in 2019 by former UBS and Wells Fargo advisers, Dallas-based Wealth Partners Alliance managed $655 million and had $400 million in retirement plan assets under advisement before the addition of Fontana and Dunham.
Fontana has 20 years of experience and had been at Merrill since 2008, according to his BrokerCheck record. Dunham joined Merrill in 2018.
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.
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From direct lending to asset-based finance to commercial real estate debt.
