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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Colgate Selden is managing director and head of regulation and compliance at Promontory MortgagePath.
September 14
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The broker hasn't been registered in over a decade, and was using clients’ usernames and passwords to make trades in their self-directed brokerage accounts, according to the regulator.
September 14
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The firm is targeting elite advisors who cater to high-net-worth and ultrahigh-net-worth clients.
September 14
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Brad Coleman is the vice president controller of Marqeta. In this role, Brad is responsible for overseeing accounting, financial reporting and tax. He has over 25 years of experience in accounting policy, financial and regulatory reporting and internal controls. Before joining Marqeta, he served as principal accounting officer and Controller at LendingClub, vice president, finance at the Charles Schwab Corporation where he was responsible for technical accounting policy and financial reporting, and served as the Controller of the Charles Schwab Bank. Prior to Charles Schwab, Brad worked as a manager in the audit practice for KPMG, LLP in San Francisco, California and Sydney, Australia. Brad is a certified public accountant and holds a BS in business administration with a concentration in accounting from the University of San Francisco.
September 14
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A rising appetite for achieving specific investment objectives, such as sustainable investing, is the main driver behind the projected rise in their popularity.
September 14
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Under the proposals, the top 0.1% of earners would be subject to a 43% tax rate on their income.
September 14
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