A team including seven financial planners and managing $400 million at Northwestern Mutual has formed Unique Wealth in St. Petersburg, Florida.
The registered investment advisory will use Pershing as its custodian and has affiliated with Dynasty Financial Partners.
The firm is led by Curtis H. Parry Jr., and its professionals include John Mosher, Tim Bartlett, Jessica Holbin and Jeff Sievers.
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.