David Bodamer

The agency said the investment manager failed to adhere to its own investment criteria on three ESG-marketed ETFs that WisdomTree shuttered earlier this year.

The former RBC Capital Markets team will join Raymond James’ employee advisor channel.

The shift to a new interest rate environment added more fuel to the fire, pushing REIT total returns up 16.8% in the third quarter alone.

By 2029, the firm anticipates that the global wealth business could represent 50% of its annual third-party capital-raising volume.

The advisory firm takes minority stakes in BFG Wealth and Canon Capital Wealth Management.

The SEC’s order pertained to collateralized mortgage obligations held in 20 advisory accounts, including 11 mutual funds.