Mark Anderson and Tiago Lima, whose team manages $200 million in Colorado Springs, Colorado, has switched their affiliation from Northwestern Mutual to Raymond James.
Their Sovereign Wealth Strategies Group includes eight planners and associates. Anderson and Lima had been with Northwestern Mutual for 10 years. The team provides wealth management to support their clients, which include military service members, veterans and their families in addition to business owners, corporate executives and retirees, Raymond James said in a press release.
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.
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From direct lending to asset-based finance to commercial real estate debt.
