February 2, 2021
Spearhead welcomes Alyson Kest as Chief Compliance Officer and Deputy General Counsel
WELLINGTON, FL – Spearhead, a premier wealth management and administration solutions provider to ultra-high net worth investors, family offices, and private placement markets, is pleased to announce that Alyson Kest has joined its team as Chief Compliance Officer and Deputy General Counsel, effective January 2021.
“Spearhead’s continued growth has allowed us to attract top talent, such as Alyson, from the wealth advisory and compliance space,” remarked Todd Walters, Managing Partner & Co-Founder. He further commented, “Alyson’s shared experiences working with a variety of firms – both boutique as well as institutional in nature – will help us to not only advance the interests of our clients, but also enable us to further expand our platform.”
Jarrett Bostwick, Partner, General Counsel and Co-Founder, commented, “Alyson brings an unparalleled knowledge base and perspective to the team that will be a huge value-add both to our partners in the marketplace and clients alike. We look forward to having someone with Alyson’s depth of knowledge joining our team.”
Ms. Kest has 15+ years of legal and compliance experience within the financial services industry. Most recently, she was the Chief Compliance Officer and Counsel for WBI Investments, Inc. and its affiliates Millington Securities, Inc. and Hartshorne Group, Inc. In this role, Ms. Kest was responsible for the investment advisory and broker dealer compliance programs across the entities.
Prior to WBI, Ms. Kest acted as compliance counsel for the investment team at Catlin, Inc. where she focused on investment rules and regulations for the global specialty insurance/reinsurance company. Before joining Catlin, Ms. Kest was designated compliance coverage for the credit sales and trading group at Macquarie after initially joining the firm’s central compliance group to help oversee the compliance program of the US broker dealer.
Prior to Macquarie, Ms. Kest held a variety of compliance and risk roles within Morgan Stanley’s institutional sales and trading division, within both core compliance teams and in the fixed income, prime brokerage and securities lending divisions.
Ms. Kest began her legal and compliance career as Associate General Counsel at Royal Alliance, where she focused on litigation. Ms. Kest holds a JD from Seton Hall Law School and a BA in Communications from Marist College. Ms. Kest holds Series 7, 24, 66 and 99 registrations and is licensed to practice law in the State of New Jersey.
Spearhead is a privately held financial services firm exclusively focused on providing premier wealth management and administration solutions to ultra-high net worth investors, family offices, and private placement markets. The firm strives to provide long-term value to clients on an after income and estate tax basis by combining balance sheet risk management techniques with investment strategies.
Spearhead has offices in Florida and Massachusetts.
All Securities are offered through Spearhead Capital, LLC, Member FINRA/SIPC. Advisory Services are offered through Spearhead Capital Advisors, LLC. Consulting and Administration services are offered through Spearhead Innovative Solutions, LLC and its subsidiaries.