Oak Financial Group, which oversees $280 million in Angleton, Texas, has switched its broker-dealer and registered investment adviser affiliations from Sagepoint Financial to Arkadios Capital.
Oak is led by Ricky Moore, who had been affiliated with Sagepoint for seven years. His firm includes eight advisers.
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.
