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 Eccleston Law.

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 Western Wealth Management, which is based in Greenwood Village, Colorado. Western Wealth 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.

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

Tags: eccleston, eccleston law, advisors, ria

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