Articles written by Keith Girard


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Abby Johnson finally breaks through the glass ceiling at Fidelity Investments and now she's busy taking big-time -- if calculated -- risks worthy of her father's legacy

Like father, like daughter? Fidelity CEO Abby Johnson shows all the signs that she's determined to leave her mark on the family's $7.2 trillion financial dynasty

November 14, 2018 — 10:06 PM UTC

Rockefeller Capital hires Chris Dupuy from Focus Finacial

But can Dupuy help his new boss shake up Rockefeller Capital Management's brand and convince 21st century tech magnates and next-generation middling millionaires to rub shoulders with a Rockefeller brand still best associated with a 19th century robber baron?

September 14, 2018 — 9:12 AM UTC

Greg Fleming dips into RIA gene pool with expected hire of Chris Dupuy to fish for elite wirehouse advisers in drive to reach $100 billion in UHNW assets

But can the CEO of Rockefeller Capital Management, a brand associated with a 19th century robber baron, convince 21st century tech magnates and next-gen middling millionaires to rub shoulders with Rockefellers... and Derek Jeter?

August 28, 2018 — 1:53 AM UTC

Ex-Merrill exec Chris Dupuy makes exit from Focus Financial barely a month after IPO, leaves financial services after 34-year career; you won't believe what he's doing now

Dupuy was charged with expanding Focus Connections, a program designed to help elite wealth management teams transition from wirehouses to independence

August 25, 2018 — 10:06 PM UTC

Posse of top cops from 17 states dresses down SEC, demand same fiduciary standards for broker-dealers and RIAs and cite other 'egregious' deficiencies in proposed son of DOL rule

Since the 5th Circuit Court of Appeals in March struck down the Department of Labor's (DOL)  embattled "fiduciary rule," broker-dealers have been operating with a virtual "get-out-of-jail-free" card

August 10, 2018 — 8:18 PM UTC

How InvestmentNews may become nucleus of U.S.-based roll-up if UK investment banker succeeds with 'wild swim' across Atlantic to purchase it

If Vitesse pulls off 'reverse merger,' it can use the cash-cow revenues of the Manhattan-based Crain weekly to fuel string of 'bolt-on acquisitions' in United States

August 6, 2018 — 5:32 AM UTC

Morgan Stanley mega-producer's fate in Oregon may become #MeToo movement litmus test on Wall Street after New York Times report

The charges against Douglas Greenberg of egregious and unlawful behavior aren't compliance- or even MS-employee related, making them 'gray area' infractions, says a source

April 2, 2018 — 6:30 PM UTC
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