SEI Investments Distribution Co. installed Robert M. Hum as new President, CEO, and Director in a generational leadership transition, UBS Asset Management's affiliate disclosure count rose from 69 to 72, and Marco Polo Securities added "Investable Oceans" as a new brand across 38 total events on a quiet weekend.

SEI Investments Distribution: New President and CEO

SEI Investments Distribution Co. (CRD 10690) in Oaks, Pennsylvania, completed a leadership transition at the top. President and CEO Paul Francis Klauder (CRD 2474240) and Director William M. Doran (CRD 1476724) departed, replaced by Robert M. Hum (CRD 5716140) as the new President, CEO, and Director. Two additional directors were added: Heather Majczan Corkery (CRD 6896886) and Gabriel Garcia (CRD 2500963).

SEI Investments Distribution is the broker-dealer subsidiary of SEI Investments Company, a $1.5 trillion asset management infrastructure firm that provides investment processing, fund administration, and wealth management solutions to institutions and advisors worldwide. The CEO transition at the distribution arm affects how SEI markets and sells its investment products and managed account platforms. The simultaneous addition of two new directors alongside the CEO change signals a broader board refresh at the distribution subsidiary.

UBS Asset Management Affiliate Disclosures Increase

UBS Asset Management (US) Inc. (CRD 583) in New York saw its affiliate disclosure count increase from 69 to 72 — adding three new affiliate disclosures in a single filing. Affiliate disclosures at the scale of UBS reflect the complexity of global financial conglomerates, where the parent company's worldwide operations generate regulatory events that must be reported on the U.S. broker-dealer's record. The steady accumulation of affiliate disclosures at major firms is a normal function of global operations.

Gagnon Securities: CAO Returns to CCO

Gagnon Securities, LLC (CRD 103727) in New York moved Lisa Catherine Ferrante (CRD 3135415) from Chief Administrative Officer back to Chief Compliance Officer — reversing the CAO appointment from earlier in the month. The reversal suggests the firm's search for a replacement CCO was unsuccessful, requiring Ferrante to return to the compliance function.

Marco Polo Securities Adds "Investable Oceans" Brand

Marco Polo Securities LLC (CRD 46561) in New York added "Investable Oceans" as a doing-business-as name. The DBA suggests a new investment product or platform focused on ocean-related or maritime investment themes — an emerging ESG and sustainability investment vertical. Four additional DBA additions were recorded across other firms on the day.

Swiss Re Capital Markets Adds Director

Swiss Re Capital Markets Corporation (CRD 39978) in New York hired Safa Rekkali (CRD 7205863) as Director. The reinsurance giant's U.S. securities subsidiary handles capital markets transactions related to insurance-linked securities, catastrophe bonds, and risk transfer instruments.

Across the Wire

Nine registration changes, two status changes, one address change, and one disclosure change were recorded. Four executive departures and four new hires were processed. Two role changes and three RIA graduations rounded out the day. The 38 total events represent typical weekend volume, dominated by filing-driven activity rather than enforcement or regulatory news.

All data sourced from FINRA BrokerCheck, SEC EDGAR, and the Finleet Terminal as of February 15, 2026. Entity profiles are available at terminal.finleet.com.