More about InVest: As new digital tools transform wealth management, the industry’s largest players are rushing to adapt to ever-increasing customer expectations, while smaller firms strive to keep pace. Behind the scenes, many are investing more on technology and hiring to drive growth, but margins remain under pressure. In|Vest West is exploring all the dynamics at play — from front to back office — and the technologies that are shaping the future of the firm.
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Victoria Zhuang is the professional development reporter at Financial Planning. She has a bachelor's degree in comparative literature from Harvard University and a master's degree in journalism from Columbia Journalism School. Before joining FP, she freelanced as an arts and culture writer while working in the Boston nonprofit world for several years. She also completed a Dow Jones News Fund business reporting internship at American Banker. Victoria covers how wealth management firms maintain their competitive edge and how financial advisors can achieve excellence serving clients of all wealth levels. She is a native of New York City.
October 9
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Dan Shaw is Financial Planning's wirehouse and bank channel reporter, covering the intersection of wealth management, banking and brokerages. His reporting background in regulation and disciplinary matters informs his coverage of compliance, recruiting and strategic shifts across the wealth management industry.
His reporting on
advisor movement and recruiting at large financial firms earned a Folio Eddie Award.His reporting includes:
How headline EBITDA multiples are misleading RIA sellers Firms make billions from 'cash sweeps.' Could AI take that away? When everybody's a 'family office,' what's the term really mean?
Before joining Financial Planning, Dan served as managing editor of the Wisconsin Law Journal for seven years. He has also covered banking and local government in Indiana and spent two years on the business news desk at The China Daily in Beijing. His work has earned multiple awards from the Wisconsin Newspaper Association for business and legal reporting.
Based in Milwaukee, Dan is also a longtime banjo player in a bluegrass band that performs across the upper Midwest.
October 8
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Matt Dines is co-founder and Chief Investment Officer of
Build Asset Management , an asset management firm specializing in strategies focused on fixed income and options. He can be reached at matt@getbuilding.comOctober 8
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A sliver of put options in a portfolio could deliver a measure of control and comfort through rocky markets.
October 8
Aptus Capital Advisors -
A streamlined “one-stop shop” would assist planners of all stripes in performing due diligence and other actions.
October 8
Foreside -
Derek is the head of advisor experience at Aptus Capital Advisors, an SEC-registered investment advisor specializing in risk-mitigated investing. He organizes the firm’s efforts to help advisors build a confident client base, designing customizable portfolios with client-friendly messaging to match.
October 8
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Kelli Haugh is managing director at Foreside, a provider of governance, risk management, and compliance service and technology offerings to clients in the global asset and wealth management industry. She oversees Foreside’s investment advisor compliance services team and provides strategic and regulatory guidance to investment advisors under the investment advisers Act of 1940 and state securities laws. Prior to joining Foreside, she was a Partner with Dew, Foxman & Haugh PLLC, concentrating on corporate and securities law.
October 8
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Martin Cheek is Vice President of SmartSearch, a provider of an Anti-Money Laundering verification service based in Lehi, Utah.
October 8
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Frank Knapp is the national coordinator of Reform the SBA: BIGGER Mission, Authority and Resources, and is president and CEO of the South Carolina Small Business Chamber of Commerce.
October 8
- J.P. Morgan, LPL Financial, Stifel, plus augmented reality education, NASAA rule commenting and more
Here's what you missed this week in wealth management.
October 8
