Pontera
·
Jun 22
·Retirement planning
→ Wealth DeskFIT 4HNW 5
What it says. Learn how to manage and grow retirement accounts more efficiently, supporting clients through various life changes and market conditions.
401(k) plan participants: know the history of your rights! 401(k) plan participants: know the history of your rights! Read more $3,271,064 Large-cap Mid-cap Small-cap Other Large-cap Mid-cap Small-cap Other Large Mid Small Other Learn more Trusted by wealth management firms and technology providers Read more Read more …
Read full article at Pontera →
What it says. Dan Biagini of American Equity discusses how advisors are building retirement income in a changing landscape, including the decline of pensions and reset interest rates.
Read full article at InvestmentNews →
What it says. Allianz Life is expanding tools to help financial professionals balance growth potential with greater downside control for investors nearing retirement.
As volatility and sequence risk weigh on investors nearing retirement, Allianz Life is expanding tools designed to help financial professionals balance growth potential with greater downside control…
Read full article at InvestmentNews →
What it says. Dan Biagini of American Equity explores how advisors are adapting retirement income strategies in a changing market, including the impact of pension declines and interest rate resets.
Dan Biagini of American Equity says the steady decline of pensions, longer lifespans and a reset in interest rates are rewriting how advisors build retirement income…
Read full article at InvestmentNews →
TheStreet
·
Jun 21
·Platform expansion
→ Saturday Go LongFIT 3
What it says. Schwab enters prediction markets with Cboe partnership, capitalizing on billions in sector trading volume and positioning itself competitively in emerging asset classes.
Major financial firms are racing to enter the prediction market space after the sector generated billions in trading volume over the past year. Charles Schwab, which oversees $11.77 trillion in client assets across 39.1 million active brokerage accounts, is now preparing its own entry into ...…
Read full article at TheStreet →
TheStreet
·
Jun 21
·Mortgage planning
→ Saturday Go LongFIT 4
What it says. Dave Ramsey and Fidelity offer conflicting mortgage affordability guidance as rates hover near 6.5% and housing payments hit year-high levels, giving advisors talking points for client conversations.
If you are struggling to decide whether you can afford to buy a house, you're not alone. Mortgage rates are still hovering around 6.5%, home prices are rising, and the median housing payment is at its highest point in a year. So, how do you know whether you could afford mortgage payments if you ...…
Read full article at TheStreet →
TheStreet
·
Jun 21
·Market outlook
→ Daily BriefFIT 4
What it says. Wells Fargo raises S&P 500 target for 2026 rest-of-year, signaling shift in Wall Street sentiment despite sticky inflation and Fed caution.
Investors were preparing for a far more cautious Wall Street, with sticky inflation figures and a Fed that refused to give markets the rate-cut signal they wanted. Wells Fargo just switched up that setup. The bank just revamped its S&P 500 view for the rest of 2026, TheFly noted, citing ...…
Read full article at TheStreet →
CNBC Finance
·
Jun 21
·Alternative assets
→ Saturday Go LongFIT 3HNW 3
What it says. AI computing power is emerging as a tradeable commodity through futures contracts, creating a new asset class that sophisticated investors and HNW clients may want to understand.
AI compute futures could eventually rival some of the world's largest commodity markets, Silicon Data's Carmen Li believes.…
Read full article at CNBC Finance →
TheStreet
·
Jun 21
·Housing market
→ Saturday Go LongFIT 3
What it says. Opendoor CEO highlights structural housing-market dysfunction: inventory stalled, rates high, older homeowners locked in place, creating client planning challenges around real estate and downsizing.
There’s a problem with the housing market. Homes are coming onto the market, yet many residences are sitting idle. Buyers seek relief, but mortgage rates are still high enough to make monthly payments difficult. Older homeowners who may otherwise downsize are staying put, because moving could mean ...…
Read full article at TheStreet →
MarketWatch
·
Jun 21
·Fed policy, market outlook
→ Daily BriefFIT 3
What it says. Trump's Fed chair pick Kevin Warsh may use rate-hike threats rather than actual increases to manage markets, suggesting the current bull run could persist through his tenure.
Trump-selected Fed chair Kevin Warsh may hope the threat of rate hikes is enough. But stocks might gain ground if he does. Past rate-hike cycles can be a guide.…
Read full article at MarketWatch →
TheStreet
·
Jun 21
·Concentrated stock risk
→ Wealth DeskFIT 3HNW 4
What it says. Michael Burry flags $3 trillion valuation concern with SpaceX IPO, raising questions about founder-driven company risk and concentrated-stock exposure for HNW investors.
SpaceX already nailed its first test stock market test. The tough question is whether investors can detach the stock from the company. Elon Musk’s rocket, satellite, and artificial intelligence company has become one of the most controversial new listings on the market after a record-breaking ...…
Read full article at TheStreet →
TheStreet
·
Jun 21
·Housing market reset
→ Daily BriefFIT 4
What it says. Morgan Stanley warns homebuyers' wait-and-see strategy is built on false assumptions as rates and prices stabilize at higher levels, reshaping client real-estate and savings planning.
The plan millions of aspiring homeowners are running, waiting for rates to fall, prices to ease, and the market to open up, is built on an assumption that no longer holds. Sarah Wolfe, a senior economist and strategist at Morgan Stanley Wealth Management, argues in a June 16, 2026, report that the ...…
Read full article at TheStreet →
MarketWatch
·
Jun 21
·Retirement planning, catch-up
→ Saturday Go LongFIT 3
What it says. A 60-year-old waiter with minimal retirement savings seeks guidance on working longer and maximizing Roth IRA contributions.
“I’m afraid I’m in a bad place.”…
Read full article at MarketWatch →
Fortune
·
Jun 21
·Wealth tax, HNW policy
→ Wealth DeskFIT 3HNW 4
What it says. California billionaire tax faces union opposition despite $118M donor campaign led by Sergey Brin; Newsom pushes for passage, raising stakes for HNW tax planning.
Sergey Brin alone donated $82 million to defeat the measure — from a committee of fewer than a dozen donors that raised $118 million total.…
Read full article at Fortune →
MarketWatch
·
Jun 21
·Tax deductions, home modification
→ Saturday Go LongFIT 4
What it says. Homeowner explores whether $170,000 in accessibility upgrades for a disabled parent qualify for medical or dependent-care tax deductions.
“Given that at least half of the remodeling cost is to accommodate my disabled mother, I’m wondering if some of this may be tax deductible.”…
Read full article at MarketWatch →
AdvisorHub
·
Jun 21
·Practice management, AI adoption
→ Saturday Go LongFIT 4
What it says. Wealth managers are shifting focus away from mass-affluent clients as AI tools make serving this segment less economically attractive, signaling a potential market realignment for advisors managing $1M–$5M portfolios.
The post The ‘Mass Affluent’ Are Losing Their Allure for Wealth Managers Navigating AI appeared first on AdvisorHub.…
Read full article at AdvisorHub →
MarketWatch
·
Jun 21
·Estate, inheritance dispute
→ Saturday Go LongFIT 4
What it says. A mother who was co-owner of her late mother's bank account must decide whether to share the funds with her siblings despite the will's equal-division clause.
“The will stated that the estate was to be divided equally among her children.”…
Read full article at MarketWatch →
MarketWatch
·
Jun 21
·Social Security timing
→ Saturday Go LongFIT 4
What it says. A 67-year-old with $950,000 in retirement savings and $100,000 annual income weighs claiming $30,000-a-year Social Security now versus delaying.
“We have combined savings of $950,000 in retirement plans, Roth IRAs and Treasuries.”…
Read full article at MarketWatch →
GOBankingRates
·
Jun 21
·Social Security planning
→ Saturday Go LongFIT 3
What it says. Quantifies Social Security benefits for lower-income earners, useful for advisors discussing retirement income adequacy with middle-market clients.
It could be smaller than you expected.…
Read full article at GOBankingRates →
GOBankingRates
·
Jun 21
·Retirement planning, cost of living
→ Saturday Go LongFIT 4
What it says. State-by-state analysis of how long $1.5M lasts in retirement combined with Social Security; directly applicable to retirement income planning conversations.
Many Americans can only dream of building a $1.5 million nest egg to supplement their Social Security benefits -- and even that much may not guarantee lifelong financial security, depending on where you live.A new GOBankingRates analysis highlights just how dramatically costs vary across the country. In the most expens…
Read full article at GOBankingRates →
MarketWatch
·
Jun 21
·Inherited annuity, SECURE Act
→ Saturday Go LongFIT 3
What it says. Parents of two young heirs to a $30,000 annuity seek guidance on withdrawal strategy under the 10-year rule.
“My understanding is that they have five years to withdraw the money.”…
Read full article at MarketWatch →
GOBankingRates
·
Jun 21
·Life insurance education
→ Saturday Go LongFIT 4
What it says. Glossary of 24 life insurance terms explaining coverage, cost, and policy mechanics; essential reference for advisors explaining policies to clients.
Life insurance provides a cash benefit to your beneficiaries when you die, but the industry is full of terms that can affect how much coverage you get, what you pay and how your policy works. Understanding those terms before you buy — or when reviewing an existing policy — can help you avoid confusion, compare...…
Read full article at GOBankingRates →
GOBankingRates
·
Jun 21
·Tax planning, seniors
→ Saturday Go LongFIT 4
What it says. Identifies four overlooked tax deductions and credits for seniors that can increase refunds; actionable for year-end tax planning conversations.
Here are a few lesser-known rules to reduce your tax bill.…
Read full article at GOBankingRates →
GOBankingRates
·
Jun 21
·Portfolio allocation, retirement
→ Saturday Go LongFIT 4
What it says. Recommends portfolio allocation strategy shift for investors age 50+ as retirement approaches; directly relevant to mid-market retirement planning.
Retirement planning tends to follow a simple formula: save consistently, invest for growth and let time do the heavy lifting. But somewhere in your 50s, that formula needs to shift as retirement comes closer. Learn More: How To Turn $100K Into a Million: Your Step-by-Step Guide Find Out: 10 Clever Ways Retirees Are Ea…
Read full article at GOBankingRates →
MarketWatch
·
Jun 21
·Wealth transfer, family dynamics
→ Wealth DeskFIT 4HNW 3
What it says. Affluent parents seek strategies to help adult children financially without enabling dependency or undermining their independence.
“Partly due to some mental-health issues, they may continue to go through life living paycheck to paycheck, or worse.”…
Read full article at MarketWatch →
MarketWatch
·
Jun 21
·Charitable giving, legacy planning
→ Wealth DeskFIT 4HNW 4
What it says. A couple with no heirs explores philanthropic giving as a way to create meaning and impact in their community.
“If you find a need in your community, there’s likely an organization that will help you get involved.”…
Read full article at MarketWatch →
What it says. New Fed Chair Kevin Warsh is implementing structural changes to Federal Reserve operations that will affect interest rates, inflation expectations, and portfolio positioning for advisors' clients.
The first big announced changes point toward a quiet revolution, with task forces set up to rethink virtually everything done at the Fed.…
Read full article at CNBC Finance →
What it says. Retail and mid-market retirement savers may have indirect SpaceX exposure through mutual funds and ETFs without realizing it, raising questions about concentration risk and disclosure that advisors should discuss with clients.
Investors who missed the SpaceX IPO may already have exposure to the stock through mutual funds, ETFs or retirement accounts.…
Read full article at CNBC Financial Advisor →
What it says. Department of Education expands income-driven repayment discount for borrowers, creating a time-sensitive planning opportunity for advisors with younger clients managing education debt.
Read full article at Yahoo Finance →
What it says. Framework arguing advisors should match portfolio risk to client tolerance rather than age; evergreen practice-management principle applicable across client segments.
Read full article at Yahoo Finance →
What it says. UBS expanded in the Southeast with six advisors overseeing more than $2 billion, while Osaic lured a $300 million family-led practice from Wells Fargo's FiNet.
New research confirms the active ETF wave is accelerating — but not every product will survive the shakeout.…
Read full article at InvestmentNews →
What it says. Oxford strengthens Ohio presence with dual managing director hires
New research finds that younger Americans are more confident spotting scams than older adults – yet they report higher rates of financial losses and investment fraud.…
Read full article at InvestmentNews →
What it says. Advisor moves: Oxford strengthens Ohio presence with dual managing director hires
UBS also expanded in the Southeast with six advisors overseeing more than $2 billion, while Osaic lured a $300 million family-led practice from Wells Fargo's FiNet.…
Read full article at InvestmentNews →
InvestmentNews
·
Jun 18
·RIAs and Financial Advisors
→ Daily BriefFIT 3
What it says. Advisor moves: LPL firm Genesis Wealth adds $725M veteran from JPMorgan
The Massachusetts-based wealth tech firm announced the quick AUM milestone just as it leans harder into AI with a recently appointed leader.…
Read full article at InvestmentNews →
InvestmentNews
·
Jun 18
·RIAs and Financial Advisors
→ Daily BriefFIT 3
What it says. Advisor moves: LPL firm Genesis Wealth adds $725M veteran from JPMorgan
The new AI workspace rollout promises to automate the full advisor workflow just as third-party tools wage a turf war for central control of wealth firms' tech stacks.…
Read full article at InvestmentNews →
InvestmentNews
·
Jun 18
·RIAs and Financial Advisors
→ Daily BriefFIT 3
What it says. Advisor moves: LPL firm Genesis Wealth adds $725M veteran from JPMorgan
Meanwhile, Dynasty partner RIA SageSpring adds five advisors to its equity ownership stack, and NewEdge Wealth continues its expansion in Nashville.…
Read full article at InvestmentNews →
InvestmentNews
·
Jun 18
·RIAs and Financial Advisors
→ Daily BriefFIT 3
What it says. Advisor moves: LPL firm Genesis Wealth adds $725M veteran from JPMorgan
In a salute to all the dads working in the financial advisory industry, we caught up with father/son teams to see how they get along…
Read full article at InvestmentNews →
What it says. Mega-RIA picks up $250M advisor, while three firms head for &Partners.
Mega-RIA picks up $250M advisor, while three firms head for &Partners.…
Read full article at InvestmentNews →
What it says. PwC report finds LPs prioritizing distributions over paper gains as exits stall.
PwC report finds LPs prioritizing distributions over paper gains as exits stall.…
Read full article at InvestmentNews →
What it says. BofA: Wealthy Americans bet on private markets, family firms as $124T transfer accelerates.
Longevity, private markets and inherited firms reshape wealth planning, study finds.…
Read full article at InvestmentNews →
What it says. Federal Reserve keeps interest rates steady at Kevin Warsh’s first meeting as chair
Advisors have been closely watching the Fed’s stance amid pressure from President Donald Trump to lower rates.…
Read full article at InvestmentNews →
Kitces
·
Jun 17
·Tax planning
→ Saturday Go LongFIT 4HNW 3
What it says. Kitces discusses a tax-aware long-short investing strategy that combines active management with risk mitigation, useful for advisors working with high-net-worth clients.
Tax-loss harvesting can be an effective way to reduce investment income in a taxable portfolio, by selling positions at a loss and reinvesting the proceeds in similar securities (but not identical ones, to avoid wash sale rules negating the loss) – which creates a loss for tax purposes that can offset gains from elsewh…
Read full article at Kitces →
What it says. Fidelity is expanding its ETF share options, joining a fast-moving industry shift after SEC cleared the way.
The women reshaping American wealth…
Read full article at InvestmentNews →
What it says. Fidelity is expanding its ETF share options, joining a fast-moving industry shift after SEC cleared the way.
Direct indexing is on pace to outgrow ETFs and mutual funds. Northern Trust's Ken Lassner explains why the advisors who get it wish they had started sooner.…
Read full article at InvestmentNews →
Morningstar
·
Jun 16
·Client behavior and expectations
→ Wealth DeskFIT 4HNW 5
What it says. Clients who have fired their financial advisor are not inherently a red flag, but they do require a slightly different approach in client conversations.
Imagine meeting with a prospective client for the first time. After a bit of small talk with “Evie,” you realize she already has a solid understanding of financial topics and the role of a financial advisor. She also already has a decent plan in place and a considerable amount of assets. The catch: Evie had a financial…
Read full article at Morningstar →
What it says. Fidelity is expanding its ETF share options, joining a fast-moving industry shift after SEC cleared the way.
The alternative investment industry is primed to expand into 401(k)s, a multi-trillion dollar market they have been shut out of.…
Read full article at InvestmentNews →
What it says. Fidelity is expanding its ETF share options, joining a fast-moving industry shift after SEC cleared the way.
A request for tickets to a sold-out game or concert may seem harmless – but for advisors, it can raise compliance concerns and client expectations.…
Read full article at InvestmentNews →
What it says. Fidelity is expanding its ETF share options, joining a fast-moving industry shift after SEC cleared the way.
Fidelity adds ETF share options to three existing mutual fund strategies, joining a fast-moving industry shift after SEC cleared the way.…
Read full article at InvestmentNews →
What it says. Young financial advisors are prioritizing training and professional development over sales, according to a recent research report from the Wealth Management EDGE conference.
Keys to building a sustainable, profitable and impactful business. Students seeking careers in wealth management prioritize training and professional development, according to a research report released last week at the Wealth Management EDGE conference. Just don’t ask them to sell financial products. June 16, 2026 The…
Read full article at WealthManagement.com →
What it says. Fidelity is expanding its ETF share options, joining a fast-moving industry shift after SEC cleared the way.
The AI numbers came in far below the pitch - and the stock paid for it.…
Read full article at InvestmentNews →
What it says. Fidelity is expanding its ETF share options, joining a fast-moving industry shift after SEC cleared the way.
A rewritten governance law gets its first court test, and one pay claim lives on.…
Read full article at InvestmentNews →
What it says. Fidelity is expanding its ETF share options, joining a fast-moving industry shift after SEC cleared the way.
Investors in the first quarter of the year pulled $1.8 billion from the 10 largest direct lending funds,…
Read full article at InvestmentNews →
What it says. Fidelity is expanding its ETF share options, joining a fast-moving industry shift after SEC cleared the way.
The fee-only integrator is adding $311.6 million in assets and specialized planning expertise to its presence in the Sunshine State.…
Read full article at InvestmentNews →
What it says. Vanguard reports new highs in auto-enrollment and retirement plan adoption rates, with some areas needing improvement.
The titanic asset manager's latest "How America Saves" shows wins in 401(k) plan design, employee participation, and savings rates, with dark spots in hardship withdrawals and company stock.…
Read full article at InvestmentNews →
What it says. LPL and UBS have made significant advisor additions, impacting the financial services landscape.
The independent brokerage giant welcomes a wealth planning team from Mass Mutual, while UBS reels in a Philadelphia-based endowment specialist.…
Read full article at InvestmentNews →
InvestmentNews
·
Jun 16
·AI & Technology in Finance
→ Saturday Go LongFIT 4
What it says. Zocks' AI tool helps advisors identify growth gaps and service opportunities in their client books.
Client Queries capability lets financial advisors identify untapped opportunities and service gaps using plain-language prompts in seconds…
Read full article at InvestmentNews →
InvestmentNews
·
Jun 16
·Estate Planning & Family Succession
→ Wealth DeskFIT 3HNW 4
What it says. This article discusses the challenges of maintaining family fortunes and the importance of estate planning.
Beyond a legal risk management exercise, estate planning is a gateway conversation that connects generations and casts the advisor as a trusted guide.…
Read full article at InvestmentNews →
Kitces
·
Jun 16
·RIA M&A
→ Wealth DeskFIT 5HNW 3
What it says. Kristin Harad discusses how to train next-gen advisors in business development by clearly defining their target market and value proposition.
Welcome everyone! Welcome to the 494th episode of the Financial Advisor Success Podcast! My guest on today's podcast is Kristin Harad. Kristin is the founder of Full Advisor Coaching, a marketing and coaching firm for financial advisors. What's unique about Kristin, though, is how her role has given her a window into h…
Read full article at Kitces →
What it says. Edward Jones adds JPMorgan to its retirement plan lineup, targeting the underserved small business 401(k) market.
Bernstein study reveals how UHNW families are rebuilding wealth resilience amid rising global uncertainty and generational divides.…
Read full article at InvestmentNews →
What it says. Wirehouse vets target founders navigating liquidity events with a new fiduciary firm in San Francisco.
The firm's 11-partner retirement lineup now includes J.P. Morgan and T. Rowe Price, as it targets the underserved small business 401(k) market.…
Read full article at InvestmentNews →
What it says. OpenArc taps retirement industry veteran Kevin Crain as strategic consultant.
How independent advisors are building what's next, and why the path has never been clearer.…
Read full article at InvestmentNews →
What it says. After SpaceX, more mega-IPOs are on deck. This is what advisors should know
Wirehouse vets target founders navigating liquidity events with a new fiduciary firm in San Francisco.…
Read full article at InvestmentNews →
What it says. Why high-net-worth clients need to rethink time, health, and wealth
The emergence of mega-IPOs is very much “uncharted territory” for markets, says Michael Landsberg of Landsberg Bennett Private Wealth Management.…
Read full article at InvestmentNews →
What it says. Why high-net-worth clients need to rethink time, health, and wealth
The Massachusetts Democrat is demanding answers from the White House as the trust fund insolvency date accelerates and benefit cuts loom for retirees.…
Read full article at InvestmentNews →
Kitces
·
Jun 15
·Industry trends
→ Daily BriefFIT 3
What it says. Kitces recommends the best books for financial advisors to read in 2026, covering a year marked by significant market fluctuations.
2026 has been another rollercoaster of a year to start, as the onset of the Iran War triggered a sharp selloff of nearly 10% in the first quarter, only for us to witness a 15%+ rebound in the subsequent two months, forcing advisory firms to both once again manage their early-year expenses, while meeting anRead More... …
Read full article at Kitces →
What it says. Wealth managers explain why family values and history are crucial components of legacy planning.
Everybody has heard about the generational wealth transfer now taking place. But what about the family values and history that go with those assets?…
Read full article at InvestmentNews →
What it says. New research reveals the decumulation planning gap among near-retirees and retirees.
Survey of near-retirees and retirees finds widespread anxiety about drawing down savings, with a clear confidence boost for those who plan ahead.…
Read full article at InvestmentNews →
What it says. Wellington Management's Christina Kopec Rooney discusses the impact of institutional wealth management on RIAs.
Wellington Management's Christina Kopec Rooney on the forces reshaping how RIAs build portfolios and serve clients.…
Read full article at InvestmentNews →
What it says. US foreclosure filings show a year-over-year increase despite monthly dips in May 2026.
Foreclosure starts climb 13% year over year as mortgage costs squeeze homeowners.…
Read full article at InvestmentNews →
What it says. Goldman and JPMorgan grant remote work passes due to World Cup crowds threatening Wall Street commutes.
Two of Wall Street's most vocal opponents of remote work are bending their own rules for the tournament.…
Read full article at InvestmentNews →
Crfb
·
Jun 15
·Social Security Reform
→ Wealth DeskFIT 3HNW 5
What it says. The 'Reformer' interactive tool helps advisors and clients understand Social Security reform options to ensure the program remains solvent for future generations.
Social Security provides vital income security to millions of beneficiaries, but it is on a road toward insolvency. We estimate that the Social Security retirement program is projected to run out of reserves by 2032, or by 2034 if combined with the disability program. Upon insolvency of the theoretically combined trust…
Read full article at Crfb →
Bc
·
Jun 15
·Social Security & Investments
→ Wealth DeskFIT 3HNW 5
What it says. A new proposal suggests investing Social Security trust fund assets in equities to help finance the program, raising questions about potential returns and debt repayment.
Issue Brief by Anqi Chen, Alicia H. Munnell, and Jean-Pierre Aubry The brief’s key findings are: Social Security faces a well-documented financing challenge. The combined Old-Age, Survivors, and Disability Insurance trust fund is projected to exhaust its assets within the decade, after which incoming revenues can cover…
Read full article at Bc →
Ficommpartners
·
Jun 15
·Advisor selection and growth strategy
→ Wealth DeskFIT 4HNW 5
What it says. This research report reveals how high-net-worth investors actually find, evaluate, and choose their financial advisors, challenging common assumptions about advisor selection.
2026 Research Report What 1,000 HNW Investors Reveal About the Modern Path to Advisor Selection We partnered with Absolute Engagement to ask 1,000 high-net-worth investors how they actually found, evaluated, and chose their financial advisor. The findings challenge some of the most widely held assumptions about how adv…
Read full article at Ficommpartners →
What it says. LPL and Ameriprise have welcomed experienced advisors from Edward Jones in Tennessee and South Carolina, expanding their networks.
Liquidity risk overtakes access as the top concern for E&Fs as private markets dominate portfolios.…
Read full article at InvestmentNews →
What it says. LPL and Ameriprise have welcomed experienced advisors from Edward Jones in Tennessee and South Carolina, expanding their networks.
Elsewhere, Feathery touts efficiency gains for custodian account opening at Sequoia, while DeepVest unveils a governance layer for CIOs to keep AI agents in check.…
Read full article at InvestmentNews →
What it says. LPL and Ameriprise have welcomed experienced advisors from Edward Jones in Tennessee and South Carolina, expanding their networks.
He said he was overseas when served. The judge wasn't buying the workaround.…
Read full article at InvestmentNews →
What it says. LPL and Ameriprise have welcomed experienced advisors from Edward Jones in Tennessee and South Carolina, expanding their networks.
Along with General Catalyst's Percepta, the $480 billion asset manager is deploying Claude across purpose-built platforms for investment research and client engagement.…
Read full article at InvestmentNews →
What it says. LPL and Ameriprise have welcomed experienced advisors from Edward Jones in Tennessee and South Carolina, expanding their networks.
Dynasty Financial Partners is formalizing its consulting arm as it moves to acquire a 46-year-old branding and marketing firm to serve independent RIAs.…
Read full article at InvestmentNews →
What it says. Wells Fargo FiNet, Janney, and Raymond James announce fresh talent totaling nearly $1.6B as advisors head for new opportunities.
The 2026 World Cup features plenty of milestones and could boost gambling-related equities.…
Read full article at InvestmentNews →
Kitces
·
Jun 11
·RIA management
→ Wealth DeskFIT 4HNW 3
What it says. Kitces and Carl discuss balancing personalization in financial planning with optimizing for business outcomes, relevant to RIA firms.
When building a financial planning firm (or any business), there is a tension between personalization and optimization. On the one hand, as a business owner, one ostensibly has the right to create their own rules and only do the work that is most fulfilling to them. Yet at the same time, the reality is thatRead More...…
Read full article at Kitces →
What it says. Firms announce recruits in Pennsylvania and Ohio as advisors head for new opportunities.
Financial advisors explain what happens when the economic data is positive and client feelings are negative.…
Read full article at InvestmentNews →
Kitces
·
Jun 10
·Business owners
→ Wealth DeskFIT 5HNW 4
What it says. Learn how to better assist business owner clients at different stages of their business journey.
Business owners have long been a popular target clientele for financial advisors; successful firms with strong profitability created an advisor opportunity to help business owners diversify their wealth (into the advisor’s managed accounts), to propose tax shelters (to offset business income), and to secure the value o…
Read full article at Kitces →
What it says. RIA dealmaking continues to hold its pace, with two firms announcing moves targeting first responders and West Coast growth.
Cross-border deals draw growing interest as executives seek growth beyond domestic headwinds.…
Read full article at InvestmentNews →
What it says. Two RIA firms have announced deals adding over $1.2 billion in combined assets, targeting first responders and West Coast growth.
New C-suite and specialist roles signal that firms are treating AI as core infrastructure.…
Read full article at InvestmentNews →
What it says. Two RIA firms have announced deals adding over $1.2 billion in combined assets, targeting first responders and West Coast growth.
RIA dealmaking holds its pace in mid-2026 as two firms announce moves targeting first responders and West Coast growth…
Read full article at InvestmentNews →
What it says. SpaceX is set to go public on the Nasdaq in a historic IPO, targeting investors interested in space technology.
SpaceX is set to go public on the Nasdaq on June 12 in a historic IPO.…
Read full article at InvestmentNews →
What it says. The SEC is expected to require issuers to report twice a year, impacting advisors' fiduciary duties.
For the first time in 50 years, issuers could end up reporting twice a year – here’s what the SEC will expect of advisors.…
Read full article at InvestmentNews →
What it says. Energy-driven price pressures are reshaping client sentiment and monetary policy, as revealed by new polling and Federal Reserve research.
New polling alongside fresh Federal Reserve research reveal how energy-driven price pressures are reshaping client sentiment and monetary policy.…
Read full article at InvestmentNews →
What it says. A Clearing firm has been fined $49.2 million in a lawsuit linked to the failure of a broker-dealer.
It is the latest in a series of stunning and multi-million dollar FINRA arbitration awards that Wall Street firms have lost in the past few years.…
Read full article at InvestmentNews →
InvestmentNews
·
Jun 9
·Wealth Management Trends
→ Industry BriefFIT 3
What it says. Half of wealthy investors found their advisor without a referral, according to a survey of 1,000 advised individuals with at least $5 million in assets.
A survey of 1,000 advised investors found half of those with at least $5 million in assets found their advisor without a referral.…
Read full article at InvestmentNews →
InvestmentNews
·
Jun 9
·AI and Wealth Management
→ Industry BriefFIT 3
What it says. JPMorgan is preparing more autonomous AI agents that could significantly increase client coverage across wealth management.
After reporting a 20% lift in private banking gross sales tied to AI tools, JPMorgan is preparing more autonomous AI agents that could significantly increase client coverage across wealth management.…
Read full article at InvestmentNews →
What it says. Steward Partners has hired a $2.4B ex-wirehouse team, while MAI Capital announces another expansion in Connecticut.
Meanwhile, Carlyle-backed MAI Capital announces another expansion in Connecticut, while AlphaCore adds a seven-person group overseeing nearly a billion dollars in Colorado.…
Read full article at InvestmentNews →
What it says. Foundations Investment Advisors and its CEO have agreed to pay fines for undisclosed conflicts of interest.
Foundations Investment Advisors and its former CEO Bryon Rice have agreed to pay about $2.1 million in fines after the SEC found they failed to disclose Rice's trading activity and ownership interests tied to investment funds.…
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What it says. FINNY launches an enterprise AI growth platform targeting centralized marketing teams at large firms.
The AI prospecting startup expands beyond individual advisors, targeting centralized marketing teams at firms with large home offices.…
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CNBC
·
Jun 9
·Lorie Konish
·Social Security & Retirement Planning
→ Wealth DeskFIT 3HNW 5
What it says. The Social Security retirement trust fund may be depleted in late 2032, according to the new SSA trustees report, impacting full benefits for retirees.
A Social Security trust fund used to pay retirement benefits may run out in late 2032, three months earlier than what had been projected last June, according to the new Social Security Administration annual trustees report released Tuesday. Social Security uses incoming revenue from payroll taxes to pay benefits. When …
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What it says. Hightower expands its services for ultra-high-net-worth clients, including institutional investment consulting and advanced planning.
The Chicago-based RIA deepens institutional investment consulting and advanced planning access for advisors serving wealthy families…
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What it says. Illinois investment advisor indicted in a $4M Ponzi fraud scheme targeting clients and fabricating account statements.
Unregistered Chicago investment adviser allegedly stole $1.8 million from clients, fabricated account statements, and used new investor funds to repay earlier ones.…
Read full article at InvestmentNews →
What it says. Financial professionals can close the gender gap in retirement planning by addressing challenges such as pay disparities and life arc differences.
From the still-significant pay gap versus male peers to detours in their life arcs and a bias towards accumulation planning, there are plenty of challenges to overcome for women to achieve real stability.…
Read full article at InvestmentNews →
Kitces
·
Jun 9
·RIA Success
→ Wealth DeskFIT 5HNW 5
What it says. David Mozeika, founder of an RIA managing $350M in assets, shares how he puts client cash flow at the center of his planning process to grow his practice.
Welcome everyone! Welcome to the 493rd episode of the Financial Advisor Success Podcast! My guest on today's podcast is David Mozeika. David is the founder of TOMORO, an RIA based in Red Bank, New Jersey, that oversees $350 million in assets under management for 600 client households. What's unique about David, though,…
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What it says. Raymond James adds a seasoned Edward Jones advisor to its independent channel, while Merrill extends its ranks with a $450 million team from Morgan Stanley in California.
Borrowers increasingly tap home equity while purchase lending and mortgage demand remain muted.…
Read full article at InvestmentNews →
What it says. Merrill has also extended its ranks with a $450 million team from Morgan Stanley in California, while Raymond James adds a seasoned advisor to its independent channel.
ChatGPT firm files confidential S-1 as Altman sets out vision for a post-AGI economy.…
Read full article at InvestmentNews →
What it says. Robinhood is expanding its RIA referral program, offering a mobile app-based client-to-advisor match pipeline with a 25% revenue share and $250,000 client minimum.
With a 25% revenue share and $250,000 client minimum, Robinhood Advisor Network pitches a mobile app-based client-to-advisor match pipeline at it plans to soon expand from 16 to 60 independent advisors.…
Read full article at InvestmentNews →
What it says. Cresset is hiring a veteran from Bessemer Trust to lead its family office services, signaling an acceleration in talent acquisition.
Mark Tremblay joins as the firm's third senior hire in under two weeks, signaling an accelerating talent push.…
Read full article at InvestmentNews →
What it says. RFG Advisory is partnering with iCapital to offer institutional-grade solutions for structured products and private markets, meeting advisor demand.
Advisor demand for structured products and private markets puts pressure on independent platforms to deliver institutional-grade solutions.…
Read full article at InvestmentNews →
What it says. New data from FINTRX shows that breakaway teams and mergers & acquisitions are reshaping the US wealth management landscape, with Wisconsin emerging as a significant player.
New data from FINTRX show breakaway teams and M&A powering the next generation of mega-firms, with Wisconsin emerging as a dark horse on the state-level leaderboard.…
Read full article at InvestmentNews →
Kitces
·
Jun 8
·RIA associations
→ Industry BriefFIT 3
What it says. Financial advisors can benefit from being active with professional associations like FPA to enhance their career development and networking.
Joining your "professional association" has long been a standard for professionals. Doctors have the American Medical Association. Lawyers have the American Bar Association. Upon completing a profession's educational and licensing requirements, membership associations are a typical next step on the journey of professio…
Read full article at Kitces →
What it says. Webull adds mutual funds to IRA accounts, making it easier for retirement savers to access professionally managed products in one place.
Platform move gives retirement savers access to professionally managed products in one place.…
Read full article at InvestmentNews →
Morningstar
·
May 31
·Investment strategy
→ Wealth DeskFIT 3HNW 4
What it says. This article provides valuable insights into whether and when to reinvest dividends, a topic that directly impacts investment decisions for advisors serving high-net-worth clients.
If you own stocks or funds, many of your holdings likely pay dividends. When you initially set up a brokerage account, you’ll be prompted to make a reinvestment election, but after that, you might not give it much thought. But this question deserves at least some attention. There are times when it makes sense to reinve…
Read full article at Morningstar →
Substack
·
May 27
·Jordan Grumet
·Financial philosophy and practice
→ Wealth DeskFIT 3HNW 4
What it says. The article discusses the dangers of aiming to 'die with zero' wealth, offering insights for advisors on how to better counsel their HNW clients.
If you are at all plugged into the personal finance community, you already know about the craze caused by Bill Perkins’ book, Die with Zero. It has become a modern rallying cry. The message is simple and seductive: spend your money now while you are young and healthy enough to enjoy it. Use wealth as a tool to maximize…
Read full article at Substack →
Substack
·
May 19
·Bob Elliott
·Bond yields and real returns
→ Wealth DeskFIT 3HNW 5
What it says. US TIPS yield at multi-decade highs, offering a solid fit for advisors managing HNW portfolios.
Years ago when I taught first-year investment associates I would start the intro to bonds class off with a simple question, “What is the expected annualized return of a 4% yielding bond if you hold it to maturity?” Students would murmur for a little bit and then sheepishly raise their hands, wrestling with whether this…
Read full article at Substack →
What it says. Financial advisors changed firms at a near-record pace in 2025, with registered investment advisor and independent broker/dealer channels seeing the most significant net gains.
Over 39,000 advisors changed firms in 2025, close to a decade high, with RIA and IBD channels seeing the strongest net gains, according to tracking by ISS MI. May 5, 2026 Financial advisors changed firms at a near-decade high pace in 2025, with registered investment advisor and independent broker/dealer channels being …
Read full article at WealthManagement.com →
Meaningfulmoney
·
Apr 30
·Derek Hagen
·Financial education and practice management
→ Wealth DeskFIT 3HNW 4
What it says. A financial educator uses the Aesop fable of the ant and the grasshopper to discuss the importance of saving for the future, even in good times.
We're good at saving. We're less good at knowing what we're saving for. I'm in a warm ballroom with stale air, sitting next to a couple of hundred people waiting for the next presentation. I'm at a conference in New Orleans. The speaker talks about the discipline behind wealth creation and how much of the population fi…
Read full article at Meaningfulmoney →
Morningstar
·
Apr 26
·Retirement income strategies
→ Wealth DeskFIT 3HNW 5
What it says. I've changed my mind about the role of dividend-paying stocks in a portfolio, especially for retirees who are in drawdown mode.
Go ahead and call me a flip-flopper: Last year, I wrote about 3 investment-related matters where I had revised my thinking. And lately, I’ve been mulling another change of heart: the role of dividend-paying stocks in a portfolio, especially for retirees who are in drawdown mode. While investment wonks might refer to a …
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What it says. This article provides insights on how financial advisors can better understand their clients' relationship with money as they age, particularly in the context of health and retirement savings.
My family was in Florida on spring break this past week. One day I was walking to get something from our rental car while my wife and kids went to the ice cream shop (we do that a lot on vacation). As I was walking by a restaurant the door opened and two older couples exited very slowly. Each of the older gentlemen was…
Read full article at Awealthofcommonsense →
Mywealthplanners
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Mar 31
·Financial Planning Interviews
→ Wealth DeskFIT 3HNW 5
What it says. MY Wealth Planners discusses the interview process for their Wealth Planning Analyst role, focusing on what questions to ask and how to evaluate candidates effectively.
In the past, we’ve written after every hiring cycle to review the overall metrics and methods by which we measure and recruit for the career opportunities at MY Wealth Planners. As we’ve officially completed our interview cycle, we now look to do the same for our most recent Wealth Planning Analyst hire. However, this …
Read full article at Mywealthplanners →
Davidoks
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Mar 10
·David Oks
·Technology and Innovation in Finance
→ Wealth DeskFIT 3HNW 5
What it says. The rise of ATMs didn't eliminate bank teller jobs, but the iPhone has fundamentally changed how financial services are delivered.
A few months ago, J. D. Vance, sitting vice president of the United States, gave an interview to Ross Douthat of the New York Times. During that interview, Vance and Douthat had an interesting exchange: Douthat: How much do you worry about the potential downsides of AI? Not even on the apocalyptic scale, but on the sca…
Read full article at Davidoks →
Com
·
Jan 7
·JJSC
·Work and Wellbeing
→ Wealth DeskFIT 3HNW 5
What it says. Adopting AI in the workplace requires leaders to redesign workflows to ensure they enhance, rather than diminish, human meaning in work.
Wasn’t AI just meant to take the boring work off our hands? To make things like invoicing and data entry go away, not gobble up the parts of work that gave us meaning? A research piece by Sydney University has called out work redesign (balancing automation with human expertise and rerouting workflows) as one of the m…
Read full article at Com →
RIABiz
·
Oct 10
·Brooke Southall
·RIA M&A and Compliance
→ Wealth DeskFIT 4HNW 5
What it says. Pontera CEO Yoav Zurel criticizes Fidelity's ban on third-party credential sharing for its 401(k) plans, highlighting the impact on RIAs and HNW clients.
Fidelity's answer to an RIABiz request for a response was blunt; the company has never given consent to Pontera, its competitors or the advisors to use their financial technology to access its data. Pontera CEO Yoav Zurel ratcheted up his year-long battle with Fidelity Investiments, scolding the No. 1 401(k) recordkeep…
Read full article at RIABiz →
What it says. This article provides valuable insights into the phone screening process, which is a crucial part of XYPN's hiring strategy for ensuring they make the best hires.
Share this For as long as XYPN has had a hiring process in place, we've utilized the 10-minute phone screening as our preliminary interview stage to trim our applicant pool to the most promising candidates. Interviewing is a time-intensive job and phone screening helps you cut to the chase faster, identifying your best…
Read full article at XY Planning Network →
What it says. A comprehensive analysis of dividend investing, highlighting its profitability and effectiveness in outperforming the market.
Journal of Financial Planning: April 2013 Gregg S. Fisher, CFA, CFP®, is chief investment officer of Gerstein Fisher, an independent investment management and advisory firm founded in 1993. Gerstein Fisher manages investments on behalf of individuals, families, and institutions using a scientific, quantitative research…
Read full article at Financialplanningassociation →
