A 16-person team, including five financial advisers who managed $1.7 billion at UBS in Indianapolis, has joined RBC Wealth Management.
The Promus Wealth Management Group is among the largest teams by headcount to join the firm, RBC said in a release. Advisers making the move were David W. Bartz, Daniel P. Chillemi, Brendon C. Harbron, George J. Kempf and Jordan Frye.
The team specializes in individual wealth management and retirement plan consulting.
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.
