Is a Roth Conversion Worth It for All Clients?
The strategy can result in tremendous tax savings, but it depends on the client’s financial goals, tax situation and legacy plans.
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The WealthStack Podcast: Human Connection Meets AI Automation with Zeplyn’s Era Jain
Zeplyn's Era Jain details how the firm builds AI-native workflows that free up advisors’ time while structuring human conversations into powerful, actionable data.
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Digital Currencies, Modern Trusteeship and Change
Trustees will see increased demand for digital assets and need to navigate more complexities in this fast-changing area.
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Nvidia Hits $4T and Hope in a Credit Union's AI Acquisition
Our technology columnist takes stock of the continued growth in artificial intelligence.
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Zephyr's Adjusted for Risk: Navigating Fixed Income in Uncertain Times
Ryan Nauman and Noah Wise discuss the impact of the current uncertain macroeconomic environment on fixed income investments, the advantages of active management, the importance of diversification across the yield curve and geographic regions, and the potential risks and rewards in the fixed income market.
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Court Strikes Down Morgan Stanley Appeal in Deferred Compensation Class Action Lawsuit
An attorney in the class action complaint filed by former Morgan Stanley advisors called the ruling the end of “quite a saga of twists and turns” that could assist reps looking to recoup compensation from the wirehouse in arbitration.
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Wealthspire Advisors: Reimagining the Wealthstack After Nine RIA Acquisitions
Wealthspire’s Channing Olson has been leading the $30 billion RIA’s strategy to revamp its tech stack and processes after a run of M&A.
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RBC Poaches $1.7B New York Team from UBS
Hudson River Wealth Management includes eight team members and will operate out of RBC’s newly opened branch in Westchester, N.Y.
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Private Credit Firms Pitch More Leverage to Win Over Deals
Direct lenders are pitching higher leverage ratios as a sweetener for deals, particularly for companies owned by private equity firms.
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Investor Advocates Slam FINRA's $50M Fee Rebate For Not Going Toward Unpaid Arbitration Awards
According to PIABA President Adam Gana, unpaid awards are a “multimillion-dollar crisis” for both the brokerage self-regulatory organization and harmed investors.
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LPL Adds $870M Team to Employee Channel; Osaic Lands $400M Firm
The independent broker/dealers announce additions amid the hot market for advisor movement.
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There Will Be No Summer Lull for Financial Advisors This Year
Life’s milestones don't take a vacation, and neither does the demand for sound financial advice.
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iCapital Raises $820M in Latest Financing Round
The commitments from T. Rowe Price, SurgoCap, BNY, State Street and others bring the fintech’s valuation to $7.5 billion.
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The Diamond Podcast for Financial Advisors: A Billion-Dollar RIA’s Seamless Evolution
Tony Parr shares Parr McKnight Wealth Management Group's journey at Wells Fargo Private Client Group, and how it leveraged the firm’s independent channels to achieve a “frictionless” launch of its RIA.
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Freedom vs. Familiarity: The Dilemma Facing Financial Advisors in 2025
The pros and cons of change.
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Former CBIZ CIO Launches New RIA with Alts Focus
Advisor Anna Rathbun goes live with Grenadilla Advisory, a Cleveland-based RIA specializing in creating personalized alternative investment portfolios for clients.
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State Regulators Caution Congress Not to Cut Them Out of Crypto Enforcement
According to NASAA President Leslie van Buskirk, it’s unlikely federal regulators would “come close to making up the difference” if state regulators weren’t able to pursue crypto-related fraud.
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Former Citadel Quants Raise $36M for Fixed-Income Fintech
Moment, which already works with Webull and Public, also announced a partnership with LPL Financial.
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IRS Releases Guidance to Combat Tax-Related Identity Theft
The annual “Protect Your Clients; Protect Yourself" summer campaign enters its 10th year.
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Deals & Moves: Composition Nears $10B With 2 Adds; Procyon Expands in Northeast
In addition, Carson Wealth snags a $608 million Colorado-based firm, RIA holding company Aspen acquires its third firm, and a $580M Indianapolis-based RIA joins Sanctuary’s independent partner channel.
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