A three-person team managing $275 million at Wells Fargo Advisors in Denver has joined Baird.
The team, which operates as the Arnold & Tai Group, includes advisers John Arnold and Jessica Tai and client specialist Lisa Peterson.
Arnold has 39 years of experience, according to his BrokerCheck report, and had been affiliated with Wells Fargo since 2000. Tai has eight years of experience and joined Wells Fargo in 2017.
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.
