Beau Jones, Chris Story, Taylor Roberts and Joseph Montgomery, who collectively managed $375 million at Raymond James, have gone independent and launched The Albany Group, which has affiliated with LPL Financial.
The group used LPL’s services for breakaway brokers.
The four managing partners were joined by operations manager Liz Yates and client service specialists Danita Shoulders and Stephanie Brock, LPL Financial said in a press release Tuesday.
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.
