Orlando Garcia, who managed $527 million at Wells Fargo, and Miguel Viyella, who managed $537 million at the firm, have joined the employee unit of Raymond James in Coral Gables, Florida.
Garcia, who had been with Wells Fargo for more than 20 years, started his career at Citicorp in 1995.
Viyella had been with Wells Fargo and a predecessor firm since 1998.
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.
