XYPN turns its advice-tech winner into a member benefit
CurrentClient won Best in Show at XYPN's AdviceTech Competition, then won over the network's members one by one. The formal deal makes that adoption official.
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Family offices co-bid with private equity for real assets
Patient family capital is moving from LP checks to principal deals, and funds are meeting their former backers at the auction table.
Carson Group lands $405M Atlanta practice from Northwestern Mutual
The move gives Carson's independent channel a three-decade practice to point to as it recruits more advisors.
RFG CEO: The first platform question shouldn't be payouts
RFG Advisory's Shannon Spotswood says advisors going independent should pick a long-term partner, not a vendor.
Osaic lands Sarsfield father-son team with a $367M book
The four-person IronGate team joins Osaic's Carlson Advisor Networks with a business-owner practice and a built-in succession story.
Guggenheim expands active ETF shelf with CLO and options funds
The $367 billion manager's ETF lineup now has four income-focused funds.
Stevens Capital nears $1B after acquiring Dallas CPA practice
The Omaha RIA's purchase of an 80-year-old tax practice shows how aging solo practitioners feed the consolidation wave.
Callan, Crowd Street take real assets to accredited investors
Callan's education series introduces Crowd Street's accredited investors to real assets, part of a broader private-markets curriculum.
Trust outranks fees in wealth-manager choice, TransUnion finds
A 1,000-investor survey ranks trust and transparency ahead of price, a cue for RIAs competing on custody and disclosure.
AI notetakers push beyond the transcript as CRM platforms close in
Meeting-capture specialists are racing to stay useful as the CRM platforms they plug into build the same features.
Stone Point, Genstar to jointly own Ascensus
Stone Point and Genstar will split ownership of the $1.3 trillion workplace-savings firm, with new money earmarked for technology and AI.
Pontera lets advisors recommend 401(k) trades without executing them
A guided workflow has clients execute the recommended trades themselves, giving advisors a way to serve 401(k) money that never shows up on a custodian statement.
FINRA panel orders $509,000 payout over conservation easements
The award may be the first final decision to name a 'land easement,' giving claimants a figure in a corner of arbitration where cases usually end in confidential settlements.
Slayer statute freezes a $1.5M trust payout in Reiner case
A trust fiduciary's decision to withhold defense funds tests California's slayer statute against a beneficiary's presumption of innocence.
Acquisition announcements edge past advisor moves in 30 days
Announced purchases now outnumber advisor moves, a small gap with a clear direction.
Fidelity's rate hike turned custody into a financing war
Schwab's $80.2B quarter and Conte Wealth's $1.4B move put the custody race on a margin schedule.
FP Transitions launches Estimated Value Index for advisory firms
The 1-to-100 score gives owners a directional read on firm value relative to peers.
Convergence puts private markets inside the advisor's daily workflow
Alternatives are no longer the constraint. The hard work is managing public and private positions in a single portfolio, and the platforms that make that routine will set the pace.
Pontera adds non-discretionary 401(k) guidance tool after Fidelity credential fight
Advisors get a way to guide held-away money without ever touching the account.
The $40 trillion debt becomes a planning input for advisors
A Conference Board report maps Treasury yield paths through 2036 as the 30-year hits pre-2008 levels.
Advisor-built Claude tools reshape client work at NewEdge
NewEdge gave advisors a raw AI platform, and the people in client meetings did the rest.
The private-markets on-ramp now runs through retirement accounts
Crowd Street and Equity Trust link self-directed IRAs to private funds. Eagle Point and Blackstone pivot capital toward AI infrastructure.
Social Security's clock is a decade earlier than Americans think
Clients are filing early on a 17-year guess; the Trustees' projection is roughly a decade shorter.
Invesco names Harris global head of custom solutions platform
Invesco turns customized portfolio building into a business line and names a leader before the product exists.
Schwab ends sub-$5 million referrals to RIAs in 2027
The two-decade trade of custody for client referrals is losing its smallest tier.
Vanguard Canada moves to delist its global minimum-volatility ETF
Vanguard Canada gives VVO unitholders until Oct. 29 to sell before a pro rata wind-down.
Mid-sized RIAs are now buying alternatives, iCapital's Gallagher says
Eighty-nine percent of advisors plan to hold or raise allocations. The new buyers are mid-sized RIAs.
Advisor sentiment stays positive as six-month outlook dims
Current conditions still read above neutral, but the share of advisors expecting economic improvement has fallen 29 points since May.
Wealthspire's client meetings are its recruiting office
Interns watch real client meetings and one came back as an advisor.
Brookwood hires four partners rather than a buyer
The Phoenix RIA is testing whether law-firm-style ownership can handle $1.5 billion without a sale.
The advisory industry is rewriting the 40/40/20 rule
Aggregation moved the overhead share; the new playbook is software aimed at the line itself.
AE Wealth's two-word growth advice: 'not right now'
At AE Wealth, 12% organic growth comes from advisors who defer good ideas and build complementary teams.
The platform arms race turns to software and services
Edward Jones's Quicken stake, Siebert's FusionIQ pact, and Arbo's CPA acquisition show the platform fight has moved to the tools around the advisor.
Louis Barajas: listen first, products later, for underserved clients
Underserved clients need listening and cultural fluency before any product — skills AI cannot replace.
WealthReach's $1M seed targets advisor search visibility
The advisor-marketing startup's small seed round goes after the industry's oldest weakness: being found before the first meeting.
HighWater's $2.4B U.S. Bank team lands on LPL via Quotient
The San Diego team's move shows bank employee advisors are the latest front in the independent channel's recruiting war.
Social Security's 2032 math rewrites retirement plans
The trust funds are set to empty in 2032 or 2033, and current law then cuts benefits by 19% to 23%. Retirement plans should be built on that case now.
Eagle Point commits $1.3 billion mezzanine to Anthropic data center
A $14 billion middle-market manager takes the largest mezzanine position in a $16 billion AI data-center project financing.
CFP Board's rollover guide turns fiduciary duty into a checklist
A $1 trillion annual decision now has a documented process. Advisors who follow it can show their work; clients who read it know what to ask.
The vacation home is the succession conversation clients skip
WealthManagement.com's guide walks advisors through an option-to-purchase structure that lets children decide the family house's fate at the second spouse's death.
A founder exit: Wealth Enhancement buys Weinand's $644M
A one-advisor Olympia RIA trades $644 million for a platform, adding another retirement chapter to the industry's record M&A pace.
Ex-Morgan Stanley advisor says firm retaliated over bias complaint
A federal lawsuit traces how the wirehouse handled her accommodations and confidential address, giving independent firms a recruiting document with a compliance warning.
The bedsore approach to retirement marketing
Fisher Investments wins by repeating one simple sentence until boomers remember it, and any RIA can do the same without a media budget.
Carson taps ex-Osaic exec Peterson to lead independent recruiting
Kevin Peterson brings a custody-and-brokerage resume to the firm's independent channel.
Georgia advisor gets 20 years for $400 million Ponzi
Drive Planning's founder receives the maximum 20-year sentence and a $233.8 million restitution order; two executives also go to prison.
Drive Planning founder and CEO gets 20 years for a $380 million Ponzi scheme
For RIAs, the maximum sentence in a Georgia Ponzi case is a due-diligence lesson: fake collateral and borrowed money can pass for diligence until someone reads the first wire.
Siebert deepens FusionIQ investment with 10-year pact
The broker-dealer is adding capital and a decade-long roadmap across wealth, institutional and digital-asset lines.
Arax uses Kate Johnson's philanthropy award as a recruiting proof point
An Ashton Thomas advisor's decade of Wyoming nonprofit work becomes a recruitment talking point for the $43 billion firm.
SEC's AI exam is a governance audit
Examiners want evidence of accountability for AI, and the paper trail should be built before the exam arrives.
AI drafts, humans decide: the new advice divide
Survey finds 72% of Americans want a human leading AI-supported financial decisions.