Christopher W. Brown and David A. Miller, who managed $450 million at Wells Fargo Advisors in McLean, Va., have left the firm and formed Brown Miller Wealth Management, a fee-only registered investment adviser.
The firm will use First Clearing, the Wells Fargo affiliate, for brokerage clearing and custodial services. It also has engaged TradePMR for technology and custodial support.
Mr. Brown began his advisory career at A.G. Edwards, a predecessor of Wells Fargo Advisors, in 1992. In 2004, Mr. Miller joined the team Mr. Brown had built.
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.
