Startups may no longer be exciting and the middle-stage firms are where all the activity is. In this session from Arizent's InVest conference, FIN editor and publisher James Ledbetter sat down with Lightyear Capital managing director Max Rakhlin, Centana Growth Partners partner Benjamin Cukier, Information Venture Partners general partner and co-founder Robert Antoniades, and David Jegen, managing partner of F-Prime's Tech Fund, to discuss new opportunities for venture capitals and private equity firms in wealth management.
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The broker-dealer alleged that a FINRA arbitration panelist who helped hand down the landmark penalty should have recused herself after reaching a similar conclusion in a case involving the same embattled broker.
May 20 -
Gabriel Kaplan of Wealth Habits used to give his virtual assistant around 20 hours per month of work. AI tools in his tech stack have greatly reduced that amount.
May 20 -
Conventional wisdom says that financial advisors choose to work in areas based on factors like the presence of wealthy families. That doesn't seem to be the case in a post-pandemic world.
May 20 -
The new rules, set to take effect May 23, will allow CFP applicants to forgo a more intensive review process in certain circumstances.
May 19 -
Industry groups argue a new rule under consideration would give brokerage firms new oversight responsibilities over unaffiliated RIAs — a contention FINRA denies.
May 19 -
The Cincinnati-based bank has partnered with the fintech Trust & Will to make estate planning easy, accessible — and free.
May 19