Advisers Jason Sherr and Merrick Nguyen, who managed $235 million at Wells Fargo Advisors, have launched StrateFi Wealth Management and affiliated with LPL Financial through its service for breakaway brokers.
The service supports and independent firm launch and then ongoing strategic, administrative, marketing and financial support.
StrateFi, which is based in Irvine, California, and Reno, Nevada, has a client base of about 160 households. Kim Burdeaux-Neal, the firm's director of client relations, joins Sherr and Nguyen in the move.
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.
