RIAs

Attorneys and other compliance experts say it's important that financial advisors greet any type of negative feedback with a thoughtful response — especially if it could turn into a legal matter.

In an earlier than usual announcement, UBS said it will update its 2026 compensation grid for U.S. advisors, aiming to curb departures and encourage more work with high net worth clients.

Cerity Partners adds its own large RIA in New York, and Beacon Pointe acquires firms in Indiana, Washington State and New York.

Fewer than 3% of U.S. advisory firms report registrations with foreign regulators, and the meager ranks reflect the difficulty of breaking into international markets.

As AI use expands in wealth management, so too does regulatory risk. Experts at Future Proof shared what questions RIAs should ask vendors, along with tips on implementing firm-wide AI guardrails.

A frequent subject of SEC enforcement complaints and examinations can cause newer firms pain if they don't follow the rules.

Christopher Haigh, founder and CEO of Iconoclastic Capital, isn't afraid to speak his mind — or to change his burgeoning firm's tech stack when necessary.

Also this week, Wells Fargo recruits from LPL, RBC and TD Private Wealth, and Corient moves overseas in a deal that doubles its AUM.

A speech by Louis Barajas, a panel on entrepreneurship and a dating game-style mentorship matching event illuminated advisors' hard-earned lessons.