Seattle is the latest metro area where the brokerage has opened a multi-advisor office; but the firm expects to take its teaming model to small, rural locations—Edward Jones’ bread and butter—too, says Managing Partner Penny Pennington.
The state’s Securities Division released its “Ongoing Financial Planning Guide” earlier this year to address what it said were the compliance questions raised by the increased popularity of the subscription model compared to AUM-based fees.
The firm argues David Anderson already attracted 15 former client households with about $24 million in business after moving to Stifel, according to a federal lawsuit.
Open, honest and candid discussions about the latest news in the RPA industry.
In 2020, advisor Danika Waddell found herself in some regulatory trouble, due to no fault of her own. It ultimately led her to start her own firm, and she’s never looked back.
Former Fieldpoint Private Managing Director Tom Hakala joins Snowden Lane’s NYC headquarters.
Mesa Pointe Wealth in Midland, Texas, becomes seventh firm to join Sanctuary's RIA platform this year.
Fidelity's well-known thought leader, who also spent years at Schwab, departs the land of custody for an 'entrepreneurial' gig.
