Mr. James has long been involved in leadership roles at the broker-dealer his father founded in 1962.
The Denver area practice will operate as First Avenue Wealth Partners.
The hires come as Raymond James gained the most assets under management through adviser recruitment of any financial firm in the third quarter.
The Federal Reserve is forecasting a steeper path for borrowing costs in 2017, saying inflation expectations have increased “considerably” and suggesting the labor market is tightening.
A little online research can make the difference between a good and bad experience.
There is still time for investors to help fulfill their philanthropic passions and also reduce their tax bills.
Report explains why various calculators produce different results
Initial implementation of the rule is currently scheduled to begin in April.
Supervisor left firm amid an internal review of her performance and then declined to testify during a Finra investigation.
Massachusetts' William Galvin charged the nation's largest independent B-D with failing to supervise a top-producing broker who allegedly committed fraud in selling unsuitable VAs.
Robo platforms are lifting client expectations.
Fidelity study finds RIA firm revenue yield fell to 69 basis points last year from between 72 and 73 basis points over the prior four years.
The longer the time period, the less likely they are to outperform.
The deal pushes Mercer toward $10 billion in assets under management
Admits to stealing money from a family's trusts that he was managing and using it for personal expenses. <b><i>(Related read: <a href="//www.investmentnews.com/article/20160519/FREE/160519910/massachusetts-investment-adviser-gregg-caplitz-sentenced-to-prison"" target=""_blank"" rel="noopener noreferrer">Massachusetts investment adviser Gregg Caplitz sentenced to prison for fraud, SEC says </a>)</b></i>
Trump's campaign manager said people made the mistake of assuming who the electorate was rather than listening to what the electorate wanted. <b><i>(Related read: <a href="http://www.investmentnews.com/article/20161202/FREE/161209978/trumps-policies-could-be-tough-on-emerging-markets-and-ignite-a" target="_blank">Trump's policies could be tough on emerging markets </a>) </b></i>
Bruce S. Horowitz charged big upfront fees but never invested any of his clients' money, the Massachusetts regulator claims.
The hedgie, famous for comparing the DOL fiduciary rule to the Dred Scott decision, may be going to work for Donald Trump.
