RIAs

The co-founders of the influential service, technology and compliance firm for fee-only RIAs discussed how the firm is evolving — but also staying the same.

September's roundup of pressing issues in the wealth management space include an elder scam lawsuit embroiling Charles Schwab, accusations against Raymond James for failures in customer complaint reporting and more.

Supervised AI tools can spot opportunities and reduce risk — ideally long before an RIA merger or acquisition closes.

End-to-end meeting manager GReminders is using AI to streamline all the other AI meeting tools, like Calendly and Fireflies.ai, under one roof to make life easier for advisors.

RBC Wealth also reorganized its private client group and appointed a new division head, and UBS named a market leader for its San Francisco business.

Jim Cahn of WEG says there will always be room for small RIAs. But firms intent on growth will increasingly have to turn to larger partners for help with estate and tax planning, back-office support, and marketing and client referrals.

A new Schwab Advisor Survey found AI is largely being used in back-office functions rather than consumer-facing, as adoption slowly takes hold.

The 17-person Canell Group joins Wells Fargo's offices in New York.

Along with the big recruiting deals, Dynasty and Gries Financial Partners shook things up at the executive level.

Whether boutique, midsize, regional or national, each RIA asset level requires distinct strategies and significant sacrifices.