Team managing $1.5 billion at UBS creates hybrid

Team managing $1.5 billion at UBS creates hybrid
Eleven-person Venture Visionary Partners is based in Toledo, Ohio
JUN 27, 2019
A team led by Craig Findley, which managed $1.5 billion at UBS in Toledo, Ohio, has formed Venture Visionary Partners. The RIA, which has 11 professionals, will use Schwab as its custodian, Purshe Kaplan Sterling Investments as its broker-dealer and Dynasty Financial Partners' operating and turnkey asset management platforms. In addition to Mr. Findley, the advisers leaving UBS include Robert Retzloff, Brian Funkhouser and John O'Brien. (More: See more adviser moves in InvestmentNews' Advisers on the Move database) Mr. Findley had been with UBS for seven years. He was discharged in April, according to his BrokerCheck record, for violating firm policy when he failed to advise management that his assistant had taken a training module for him. Mr. Findley began his securities career at Everen Securities in 1992, and worked at two wirehouses for 17 years before joining UBS in 2011. Mr. Retzloff began his career in 1993 at Citigroup Global Markets, moved to Morgan Stanley in 2009 and joined UBS in 2016. Mr. Funkhouser started his career at Merrill Lynch in 2004 and moved to UBS in 2011. Mr. O'Brien joined Merrill Lynch in 2010 and UBS in 2012. (More: UBS loses 166 advisers in its Americas unit over the past year)​

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