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.
-
-
Under settlements with the SEC, Wells Fargo and BNP Paribas will pay millions of dollars in penalties for employees using unofficial communications like WhatsApp. In all 11 firms agreed to pay penalties, while the CFTC took separate actions.
August 8
-
Secretary of the Commonwealth William F. Galvin says a probe into how firms are using AI isn't a condemnation of the tech but an acknowledgement of its potential impact.
August 7
-
For the second time this year, the Canadian firm has poached a billion-dollar team from a much larger company.
August 7
-
The proposal to replace in-person inspections still drives a wedge between investor advocates and brokerage industry groups.
August 7
-
Patti Clement, CPRIA, is executive vice president of high net worth personal insurance at HUB International.
August 7
-
Robert Sandrew is the chief growth officer atIntegrated Partners , a national financial planning and registered investment advisory (RIA) firm. His focus is on finding the right fit for advisors looking for a new home and bringing the right kind of talent into the Integrated Partners organization.August 7
-
They will take "senior advisor positions" upon Clayton, Dubilier's deal to take the RIA consolidator private — a deal netting them tens of millions of dollars.
August 7
-
Tom Spann is CEO and co-founder of Brighside, the leading Financial Care benefits solution for employers. Prior to that, he was the co-founder of Accolade, a pioneering healthcare navigation company.
August 7
-
Tina Gilbert is the Managing Director of
Management Leadership for Tomorrow 's Advisory Services - a non-profit with the mission to create Racial Equity within the workforce. Tina has over 25 years of Strategic Consulting, DEI Leadership and Change Management experience working at Accenture, Teva Pharmaceuticals and Accolade Healthcare Navigation.August 7
