A team of three advisers managing $1.05 billion at the Alex. Brown unit of Raymond James have moved to the Westport, Connecticut, office of UBS. The three — David Rosenthal, Stephen Collins and Daniel Rupp — practice as RC Wealth Management.
Rosenthal, an attorney, joined Smith Barney in 1997. In 2014, he moved to Deutsche Bank Securities, which had integrated Alex. Brown earlier. Raymond James acquired Deutsche Bank’s wealth management business and the Alex. Brown brand in 2016.
Collins started his career at Smith Barney, moved to Bank of America Merrill Lynch in 2007, and to Citigroup in 2012. In October 2016, he joined Rosenthal at Alex. Brown.
Rupp has five years’ experience at Wells Fargo and Alex. Brown.
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The advisor, Andrew Nash of El Capitan Advisors, used the funds to buy a house, according to the SEC.
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How intelliflo aims to solve advisors' top tech headaches—without sacrificing the personal touch clients crave
