Progressive Financial Concepts, a six-adviser team managing $450 million in Scottsdale, Arizona, has changed affiliations from Sagepoint Financial, which is part of Advisor Group, to LPL Financial.
Progressive has chosen to be overseen by The Wealth Consulting Group, an LPL office of supervisory jurisdiction.
The advisers making the change are Kory Budinger, Michael Apsell, Eric Black, Greg Morell, Stan Waldrop and Brian West. The advisers are supported by five administrative staff members.
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.
