Three wirehouse teams that collectively manage $1.8 billion have joined Rockefeller Capital Management, a large registered investment adviser.
The three teams are the five-member FMC Group, which managed $900 million at Merrill Lynch in Walnut Creek, California; the five-member Amsler Laborde & Bowman team, which managed $600 million at UBS in Houston; and the three-person ZWMG team, which managed $300 million, also at UBS, in Scottsdale, Arizona.
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.
