A pair of advisers who manage $360 million in assets in Woodland Hills, Calif., is switching its affiliation from UBS to Raymond James & Associates, the firm’s employee channel.
Charles Isaacs and David Paller operate as Isaacs & Paller Wealth Management. Their team includes adviser Thomas Rockel and a client service associate, Stella Llamas.
Isaacs started at EF Hutton in 1986 and spent 22 years at Smith Barney. He had worked at UBS since 2008.
Paller had worked at UBS for more than 11 years, and earlier spent four years at Merrill Lynch.
The undoing of the penalty, which has hung over the Wall Street bank for seven years, marks a significant victory for CEO Charlie Scharf.
The big three custodian is unveiling new reporting features, UMA functionalities, and a new advisor growth network, along with other updates at its flagship conference.
Michael Bradley faces allegations of “improper recommendation to clients” who bought GPB securities.
The RIA behemoth overseeing more than half a trillion dollars in client assets is adding to that book with a $1.4 billion firm focused on pro athletes in New York.
With over 600 clients, the $71 billion RIA acquirer's latest partner marks its second transaction in Oklahoma.
How intelliflo aims to solve advisors' top tech headaches—without sacrificing the personal touch clients crave
From direct lending to asset-based finance to commercial real estate debt.
