Robert Batick who manages $224 million as an independent in Guilford, Connecticut, has changed affiliation from Westport Capital Management to Securities America Inc. Also making a switch to Securities America is Norman “Todd” Coates, who manages $152 million in Tyler, Texas, and was formerly affiliated with LPL Financial.
Batick affiliated through Patriot Financial Group and Coates through Navigation Financial Group, two of Securities America’s largest affiliated super OSJs, or offices of supervisory jurisdiction.
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.
