Ann Sebert’s journey to the CEO role at CAPIS wasn’t a straight line but a series of opportunities that pushed her beyond what felt comfortable. In an interview with Traders Magazine, she recalls stepping into new responsibilities with a mix of curiosity and grit, discovering along the way that true leadership grows out of uncertainty, empathy, and a willingness to learn.
What have been the most defining moments or challenges in your journey to becoming CEO of CAPIS, and how have they influenced your leadership?
Some of the most defining moments in my career came from times of change and challenge. I learned early on that growth happens when you step forward, especially when the path isn’t clear. Leadership, to me, has never been about doing everything yourself, but about leading by example. If I’m not willing to do something, how can I expect someone else to?
Throughout my journey, I’ve taken on projects and roles well outside my comfort zone. Even when I had no prior experience, persistence, curiosity, and clear communication helped me succeed. Each challenge reinforced that no obstacle is too great when you stay adaptable, collaborative, and focused on the end goal. Those lessons have shaped the way I lead CAPIS today — with resilience, empathy, and a readiness to embrace what’s next.
How do you balance innovation with preserving the firm’s culture and core values?
Innovation must serve a purpose. It should enhance how we work without diminishing the expertise and judgment of our people. Over the years, we’ve learned that the best approach is to be deliberate and thoughtful in deciding which technologies to adopt and how to implement them.
Like many firms, we’re exploring how AI fits within our organization, particularly how it can elevate the client experience. From the start, we make a point to involve employees in that process. Innovation only succeeds when people feel part of it, not subject to it. That collaboration ensures we continue to evolve while staying true to the culture and values that define CAPIS.
In a rapidly changing trading environment, how do you identify and prioritize strategic opportunities for CAPIS?
In a constantly changing trading environment, focus is everything. One of CAPIS’s greatest challenges and strengths has been staying disciplined about where we direct our energy. Doing a few things exceptionally well has always served us better than trying to be all things to all clients.
The commission management space has faced significant regulatory and market shifts in recent years. By staying true to what we do best, we’ve been able to identify smart growth opportunities including strategic acquisitions that complement our core strengths.
We stay close to our clients and listen carefully to our front-line sales and trading teams to understand where the industry is headed. We don’t chase every trend; instead, we double down on our foundation, superior trading and outstanding client service.
What major shifts do you foresee in institutional trading and brokerage over the next few years?
We’ve already seen technology transform every part of institutional trading, and that pace will only accelerate. Outsourced trading will continue to expand as firms seek greater efficiency, scale, and access to specialized expertise. AI and automation will keep delivering more sophisticated tools to support traders and clients alike.
But even as technology advances, the need for human judgment and trusted relationships hasn’t diminished — especially for middle-market money managers. In fact, it’s become even more critical. The firms that will truly stand out are those that blend advanced technology with the experience, intuition, and partnership that only people can provide.
How is CAPIS integrating technology and data to deliver better outcomes for clients?
CAPIS has always been a technology-forward firm. Our reporting and analytics tools give clients transparency into execution quality and costs, a foundation for informed decision-making and accountability. We also work closely with clients to help automate their own processes, improving efficiency and freeing them to focus on their investment goals.
Internally, we continue to leverage automation to eliminate inefficiencies, reduce errors, and accelerate workflows. But the real advantage comes when technology strengthens relationships — when it helps us build trust and consistently deliver better outcomes for our clients.
With market volatility and regulatory changes continuing, what do you think distinguishes firms that thrive from those that struggle?
Two of our core values — integrity and agility — have guided CAPIS through nearly five decades of market volatility and regulatory change. Compliance has always been at the heart of who we are. Our clients trust us not only for execution, but also for insight and guidance as the regulatory landscape evolves.
Longevity in this industry comes from consistency, transparency, and always putting clients first. We can’t control volatility or regulation, but we can control how we respond. The firms that stay proactive, disciplined, and client-focused will continue to thrive no matter what the environment.
As a woman leading a financial services firm, what barriers did you encounter early in your career, and how did you overcome them?
I was fortunate to join a firm where women were already in leadership roles, which gave me a strong foundation early in my career. While I’ve certainly faced challenges along the way, I’ve never felt that being a woman was a deciding factor in my success or setbacks.
What’s helped me most was preparation and persistence. I’ve always believed that credibility comes from clear communication, follow-through, and being ready for every opportunity. I was also fortunate to have mentors — many of them men — who opened doors and saw potential rather than stereotypes. My hope is that my experiences can help make the path a little easier for the next generation of women leaders in finance.
How can firms like CAPIS foster environments where women not only enter but advance into senior and executive positions?
Creating an environment where women can thrive and advance starts with intention, from both the organization and the individual. Firms need to provide systems that support training, mentorship, and clear paths for advancement. At the same time, individuals must take ownership of their growth by being prepared, proactive, and willing to stretch beyond their comfort zones.
Throughout my own career, I’ve relied on hard work, communication, and focus to move forward, often while balancing the demands of raising a family. I believe opportunities come to those who are ready for them, regardless of gender.
It’s important that advancement be based on merit, not quotas. True equity happens when firms invest in developing talent and women are recognized for their capability and contributions. That’s how we build workplaces where success is both earned and celebrated for everyone.
Do you see the perception of women in finance evolving, and what further changes are needed to ensure equal representation at the top levels?
Absolutely! The perception of women in finance has evolved tremendously. We’re seeing women succeed in leadership roles across every corner of the industry. That said, progress isn’t always linear. Some areas, like trading, still have ground to cover, and that starts with education and confidence by encouraging young girls early on to believe they can thrive in any field they choose.
True equality isn’t just about representation or numbers. It’s about building cultures where inclusion, opportunity, and respect are embedded in how we operate every day. That’s how lasting change takes hold.
What advice would you give to young women entering finance today, particularly those interested in leadership or trading roles?
Be curious, be resourceful, communicate clearly, and never underestimate your value. This industry rewards those who ask questions and seek to understand the “why” behind every decision.
Find mentors and allies who will both challenge and support you. Don’t wait for someone to hand you an opportunity — leadership begins long before the title does. And most importantly, be prepared. Hard work and preparation build confidence, and confidence compounds just like returns. The more you invest in yourself, the stronger you grow.
