Industry

Preparation is everything: If clients are aware of the transition well in advance, experts say the risk is pretty low they'll leave the firm.

UBS chief data and analytics officer Joe Cordeira says AI won't replace advisors. But it can help them by providing little nudges to do everything from rebalancing a portfolio to wishing a client happy birthday.

One of the most consequential M&A deals in years leads this roundup of the many ways big independent firms grew in 2025 and how they plan to continue growing in 2026.

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.

With the rapid growth of the RIA industry, large wealth managers are increasingly finding ways to make money by supporting independent advisory practices.

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.

Savant Wealth Management, Moneta Group Investment Advisors and EP Wealth Advisors lead a group of fee-only firms with headcounts well above their peers.

Mindy Neira found that embracing her passions helped build a niche that fulfills her.

Experts say RIA owners often resist making themselves replaceable. But they'll have to choose between an internal or external deal someday.

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.