Kestra, Arkadios pick up Commonwealth teams: Advisor Moves
Also, Raymond James lands a $420M father-son team from Edward Jones, Cetera recruits a $350M LPL duo, and Cambridge acquires a $1B AUM dual registrant.
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How tiny shifts in advisor phrasing can improve client outcomes
Advisors who reframed strategic decisions shifted investor perceptions of identical financial results, research shows; here's what that means for retirement planning.
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Goldman, Wells Fargo scout RIA movement for new business opportunities
With the rapid growth of the RIA industry, large wealth managers are increasingly finding ways to make money by supporting independent advisory practices.
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With enforcement actions plummeting, is the SEC losing its regulatory zeal?
The latest SEC Enforcement Activity report finds that the watchdog agency has only started four regulatory cases against public companies under the current presidential administration.
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RIA Leaders: Top 10 firms by number of financial advisors for 2025
Savant Wealth Management, Moneta Group Investment Advisors and EP Wealth Advisors lead a group of fee-only firms with headcounts well above their peers.
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Know Your Niche: Serving LGBTQ and special needs families
Mindy Neira found that embracing her passions helped build a niche that fulfills her.
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Model portfolios and other ways to devote more time to clients
A new Cerulli report finds that advisors who outsource investment management spend more time in direct dealings with clients.
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Guidance issued for tip and overtime deductions
In Notice 2025-69, the IRS and the Treasury offer clarifications and examples of how to claim the One Big Beautiful Bill Act deductions.
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Medicare premiums erode Social Security COLA in 2026
Rising Part B costs will absorb much of Social Security's 2026 cost-of-living adjustment — leaving less room in retirees' budgets.
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Wells Fargo whistleblower alleging sham interviews wins right to sue
Wells Fargo had argued that FINRA arbitration was the correct forum for a complaint brough by an ex-employing alleging the firm had used false interviews to boost its diversity credentials. Now the whistleblower will have his day in court.
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The RIA founder's dilemma: Choose your successor or sell
Experts say RIA owners often resist making themselves replaceable. But they'll have to choose between an internal or external deal someday.
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An FP Friendsgiving: A holiday recipe roundup from leaders in the wealth industry
From time-tested appetizers to secret family mains, join us for an eight-course extravaganza — a menu exchange from wealth management names you know and love.
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FP's November CE quiz available; earn credit now
FP's general knowledge continuing education quiz is aimed at keeping advisors current on timely, important issues in wealth management — and helping them maintain professional certification.
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Why advisors keep saying goodbye to Commonwealth, LPL Financial
LPL executives have said they're well on the way to retaining 90% of the client assets they're seeking to bring over from their recent purchase of Commonwealth. But advisor departures have ticked upward.
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Free AI tools fall short for advisors handling client data
The hidden costs of free AI tools go beyond simple feature upgrades. Non-enterprise versions of AI tools often lack advanced data protection features.
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As 2026 nears, advisors address financial resolutions with clients
With New Year's resolutions on the rise, financial advisors are using the seasonal focus on money goals to engage clients and spark action.
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Finance billionaires warn of rising private credit risks
Concerns grows that the the $1.7 trillion private credit industry could be adding hard-to-detect risks to the U.S. financial system.
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UBS bets on advisor training while CEO gives reality check on profits
As CEO Sergio Ermotti says it's almost impossible for the firm's U.S. wealth management business to match rivals' profit margins, UBS seeks to help new and existing advisors sharpen their expertise.
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Gen Z investors are all-in on Roth. Here's why
Generation Z is favoring Roth accounts like no generation before, new Fidelity research shows. Here's why younger investors are betting on post-tax retirement savings.
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10 best-, worst-performing international equity funds of past 3 years
Falling client risk tolerance and domestic turmoil may mean that these international equity funds could be more attractive to investors looking for diversification.
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