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Former Rockefeller Advisor Lands at Colorado RIA After Unauthorized Trading Allegations

Posted on September 7th, 2022 at 2:08 PM
Former Rockefeller Advisor Lands at Colorado RIA After Unauthorized Trading Allegations

From the Desk of Jim Eccleston at ÍøÆØ³Ô¹Ï.

A former Rockefeller Capital Management advisor, Brent Hablutzel, has joined an LPL Financial-affiliated firm after his termination in July over allegations that he completed several unauthorized trades on behalf of his clients.

Hablutzel, who generated nearly $8 million in annual revenue, has joined ÍøÆØ³Ô¹Ïstern ÍøÆØ³Ô¹Ïalth Management, which is based in Greenwood Village, Colorado. ÍøÆØ³Ô¹Ïstern ÍøÆØ³Ô¹Ïalth oversees at least $2.6 billion in client assets, according to its most recent Form ADV filing. Hablutzel’s former group at Rockefeller, which managed $850 million in assets, featured a junior advisor and two client associates. The junior advisor has joined another Rockefeller team in Colorado while the two client associates have joined UBS, according to BrokerCheck.

ÍøÆØ³Ô¹Ï LLC represents investors and financial advisors nationwide in securities, employment, regulatory and disciplinary matters.

Tags: eccleston, eccleston law, advisors, ria

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