Plus, Cetera adds a $1.9B tax-focused firm, Choreo acquires two RIAs, and Modern Wealth expands in New York.

A Ninth Circuit appellate panel ruled that10 advisors recruited to LPL from Ameriprise have the right to resist turning over their personal devices to a forensic examiner to be searched for evidence of misappropriated client data.

An internal successor, a seller and an acquirer dish out the most common mistakes they say advisory firms must avoid to address the challenge.

Plus, Wells Fargo and Raymond James pull more teams from Commonwealth/LPL, and Elevation Point takes a stake in a UBS breakaway.

While AI has increased gross productivity, net gains have been eroded by the time and effort needed to review and correct AI outputs.

The massive intake preceded the BNY-owned custodian's rollout of a new financial advisor matchmaking service aimed at conversions from institutional clients.

Wells Fargo stands out among wirehouses with FiNet, its dedicated channel for independent advisors. Wells Fargo Advisors head Sol Gindi says this structure gives the firm a competitive advantage rivals will find difficult to replicate.

Wells Fargo lands big teams from Merrill and Citi, while Cerity Partners and Mercer Advisors continue their aggressive M&A streaks.

Logic (and compelling Cerulli Associates data) explain why advisor teams are gaining momentum. But teaming is not the only option for growth.

Starting in 2026, the starting age limit for those with significant disabilities to take advantage of these tax-advantaged savings accounts has been raised by 20 years.

Mary Kate Gulick's case was dismissed with prejudice, a year after the case's allegations against a major RIA drew significant attention across the industry.

The loss of a $129 billion team for Merrill set the high-water mark in a year that also saw the departure of huge teams from UBS, JPMorgan, Wells Fargo and Oppenheimer.

Rockefeller becomes the latest firm to benefit from a steady stream of advisor defections from UBS this year.

Also, DayMark Wealth Partners sells a minority stake to Constellation Wealth Capital.

Founders Elissa Buie and Dave Yeske are leaving a legacy in the profession and at the firm under three successors taking over in 2026.

Brett Griffin was given two months' notice that he would lose his job when Charles Schwab closed the office where he was working in Temecula, California. Now the firm accuses him of using some of that time to help move client data to a rival RIA.

Also, Independent Financial Partners secures a $700M team from Commonwealth/LPL, and NewEdge Capital names a new CEO.

Consolidation has been ongoing for more than a decade in wealth management, but it accelerated to unprecedented levels this year.

Separate from any transactions involved with succession, financial advisors who want to retire face challenges that make exiting the business difficult.

Henry Robert Gleckler IV's dispute with JPMorgan over his alleged solicitation of his former clients now heads for a resolution before a FINRA arbitration panel.