Holistic Advice Requires 360 Degree Compliance
In this competitive landscape, firms and advisors are looking for ways to differentiate their advice, product and service offerings. During this webinar, we will discuss ways in which firms can offer holistic wealth management advice, which will reduce acquisition cost and time, increase wallet share with each customer and create a longer annuitized revenue stream per client.
Chief Technology Officer
Jeff has 30 years of experience in information technology and 23 years in the Fintech/Regtech sector. During his career, he has worked closely with investment management firms to help them increase operational efficiency, reduce risk, and optimize the client experience. Jeff has worked 20 years with fiduciary wealth management firms in understanding their investment processes and regulatory obligations to deliver technology solutions that address the firm’s critical business issues.
Jeff is well versed in the OCC’s regulatory obligations around investment servicing, investment management, and asset management for fiduciary firms. The InvestEdge compliance application has been used by banks and trust company for 20 years in helping them integrate the compliance process with their investment process and ensure they have proper governance and examination artifacts.
In his current position as Chief Technology Officer at InvestEdge, Jeff is responsible for all new products, software development, and application and infrastructure support of the InvestEdge Wealth Management Platform offered as a SaaS solution to investment management firms.
Jeff is a graduate of Temple University where he earned a Bachelor of Business Administration, majoring in MIS.
Chief Innovation Officer, Founder
Rob Dearman is on a mission to help financial advisory firms build and grow the next generation of client-obsessed, fiduciary-focused, technology-accelerated strategies and platforms. Trained as a software engineer and architect, he has a unique 25+ year background in application architecture, user experience design, wealth management platforms, and product development which provides his clients with differentiating advantages for their investors.
Rob co-founded the country’s 3rd largest independent broker-dealer network, National Planning Holdings, where he served as Chief Information Officer, Head of Wealth Management, and Head of Strategy. He was also the designer and Chief Technology Officer for the first digital TAMP, Curian Capital, and led the Office of Strategy for Jackson National. He served as Regulatory liaison and held a position on FINRA’s CIO Advisory Board, FINRA’s FinTech Innovation Council, and contributed to the SEC Reg BI and CRS regulation, DOL Fiduciary rule, NAIC Model Suitability rule, and several NASAA state fiduciaries efforts. Most recently Rob built and sold an $11B National RIA aggregator network using bespoke technology to drive unique client service experiences, driving growth at 500% the market.
Rob has been recognized with multiple innovation awards from AM Best, the Insured Retirement Institute, the Financial Services Institute, Wealth Management magazine, and Investment News magazine. He has served and continues to serve on many advisory and technology boards including the SEC, FINRA, NAIC, IRI, DTCC, Money Management Institute, Financial Services Institute, Envestnet, BNY Mellon, Fidelity, Morningstar, iNautix, Xtiva, RIA In a Box, and has been a driver industry standards for World Wide Web Consortium, the Financial Services Institute, Insured Retirement Institute, custodians, clearing firms, and the DTCC/NSCC.