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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Since this March, almost 100 firms have settled with the regulator for approximately $173 million. Other cases are still pending.
October 8
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Bill Mahler had been chairman of the firm’s equity capital markets and equity asset management units. He was also on the executive committee.
October 8
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The venture would mark a return to private banking on U.S. soil after an agreement to transfer its U.S. brokerage to Wells Fargo in 2015.
October 8
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Whitfield Athey is CEO of Delta Data, a solutions provider to mutual fund back-office operations.
October 8
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Sheila Weinberg, CPA, is the founder and chief executive officer of Chicago-based
Truth in Accounting , a 501(c)(3) nonprofit organization that researches government financial data and promotes transparency for a better informed citizenry.October 8
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Billy Ricketts is most likely the elder stateswoman of wealth management — but she and her grandson believed it was time for something new.
October 8
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“We need someone with a deep understanding of BlackRock, our business and, above all, our culture,” CEO Larry Fink wrote in a memo.
October 8
