Jesse Rodriquez, who managed $326 million at UBS in Newport Beach, Calif., has left the firm and formed Rodriquez Wealth Management. The independent practice has affiliated with Wells Fargo Advisors Financial Network.
A veteran wirehouse adviser, Mr. Rodriquez began his career in 1996 at Smith Barney, moved to Merrill Lynch in 2006 then to UBS in 2011.
Also affiliating with FiNet is R Carson, who managed $60 million at Edward Jones. He has formed Jeller Wealth Management in Chicago. Mr. Carson was with Edward Jones for 12 years.
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.
