An Omaha, Nebraska-based team that managed $605 million in client assets at Principal Securities has switched to LPL Financial and will use its broker-dealer, RIA and custodial platforms, the firm announced Wednesday.
Pat Ricketts and Mindy Helfrich, who operate as Vintage Financial Group, have worked together since 2012. Ricketts has 15 years of experience, having joined Principal in 2008, according to BrokerCheck. Helfrich has 23 years of experience and joined Principal in 2012.
The advisors aim to develop long-term relationships with their clients with individualized planning.
“Our clients are never simply a name on a statement or just an account number,” Ricketts said in a statement. “We take the time to get to know our clients on a deeply personal level and educate them so they can dictate what they want their financial futures to look like.”
When they started talking to wealth management firms, they were looking for more freedom and ways to give clients a better experience.
“Every interaction we’ve had with LPL shows that they are in the business of helping advisors focus on their clients,” Helfrich said in the statement. “From their streamlined and integrated technology and cutting-edge solutions to their comprehensive support, we believe partnering with LPL will allow us to be nimble in this ever-changing industry and provide our clients with best-in-class experiences.”
The firm includes vice president Kirstin Ricketts, who is Pat’s wife, Tricia Seitelbach-Green, who heads client operations, and Melissa Hays, director of business operations.
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