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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The practice received a recommendation from a surprising source and wound up picking its suitor after only a three-month search.
February 5
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Sophia Duffy is an associate professor of business planning at The American College of Financial Services, where she teaches estate planning and taxation.
She is also an estate planning attorney with Winter & Duffy Law in Pennsylvania. She has published several papers in academic journals related to robo-advisors, Social Security, financial industry regulations and the impact of technology on the financial services profession.
February 5
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The new administration could quickly revive a rule that was left unused by Donald Trump.
February 5
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Lauren Anderson is senior vice president and associate general counsel at the Bank Policy Institute. She previously served as a senior adviser on green finance to Bank of England Gov. Mark Carney.
February 5
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New hires come at a moment of heightened competition for talent industrywide.
February 5
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Joseph J. Murin is Chairman of JJAM Financial LLC, a financial services holding company. He is also Chairman Emeritus with Chrysalis Holdings and a member of the Boards for Cherry Hill Mortgage Investments and PitchPoint Solutions. Mr. Murin has served as President of the Government National Mortgage Association and co-founded The Collingwood Group, LLC, a leading Washington D.C.-based strategic consulting firm.
February 5
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Banks weren't involved in the trading frenzy, but some observers say the regulatory response should address risks to all financial institutions.
February 4
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Wealth managers acting as “downstream broker-dealers” allegedly made $187 million in commissions and other selling fees on GPB Capital investments.
February 4
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In the new Form CRS, firms must justify whether they place client assets in advisory or broker accounts.
February 4
