Larry Roth

Regtech Is Changing Your Compliance Department

Plus Hamburger On Legal Blind Spots, Custodian Conferences, Mass Affluent Clients, Marcoms Strategies For Investments, Presidential Politics And Investing, RBC Wealth Management’s Recruits, And Our Deals & Recruiting And Investments Roundups

By Larry Roth

/ 22 May 2024

Regtech Is Changing Your Compliance Department

Technology Is Making Compliance Departments More Proactive

Compliance Veterans From Orion, RFG, Angeles And Surge Share How Technology Is Changing Compliance Departments Across The Industry

By Larry Roth

/ 21 May 2024

Larry Roth, CEO, Wealth Solutions Report

Don’t Let Clients’ Election Anxieties Distract Them

Plus Our Deals & Recruiting Roundup, Serving Women Clients, Testing Cultural Fit, Signature Fraud, iCapital’s Alts Portfolio Launch And Dynasty’s Recruits

By Larry Roth

/ 15 May 2024

Don’t Let Clients’ Election Anxieties Distract Them

How Advisors And RIAs Can Overcome Current Challenges

Plus Sanctuary Buys tru Independence, Our Wealthtech And News Roundups, Fidelity’s Tech Survey And SEIA’s Acquisition

By Larry Roth

/ 8 May 2024

How Advisors And RIAs Can Overcome Current Challenges

Honoring Top Industry CFOs And CIOs

Plus Deals & Recruiting, Practifi On Communicating Value, Gladstone On Multiples, Rise Growth On ‘Four Pillars,’ Cresset’s Recruits, StreetCred’s New SVP, Essential Edge’s Board Appointment, FIDX’s Insurance Desk, AssetMark’s Sale And More

By Larry Roth

/ 1 May 2024

The Full Picture For Wirehouse Advisors Today

Plus Breakaway Recruiting; News And Investments Roundups; TIFIN, Smarsh And F2 Strategy’s Appointments; Private Advisor Group On Liquidity; Audent On Student Housing; MMI’s DEI Awards; Householder’s Succession Program; And Verdence’s RIA Solutions

By Larry Roth

/ 24 Apr 2024

The Full Picture For Wirehouse Advisors Today

It’s Time To Talk With Your Clients About Cash

Plus BetaNXT Advises On The AI Long Game, Our Deals & Recruiting Roundup, Cerity’s OCIO-Focused Merger, AlphaTrAI’s New President, Surge Ventures Acquires Kovair, Stratos Private Wealth Expands, Choreo’s CIO And More

By Larry Roth

/ 16 Apr 2024

It’s Time To Talk With Your Clients About Cash

A Better Client Experience – Driven By Wealthtech

Plus FSI’s Advocacy Initiatives, Our Weekly News Roundup, Our Guide To Regulatory Conferences, Multi-Generational Wealth, Diversity, Headwinds For RIAs, AlTi And iCapital Make Acquisitions, Sanctuary Recruits And Hires, And

By Larry Roth

/ 10 Apr 2024

A Better Client Experience – Driven By Wealthtech

Through Your Clients’ Eyes: Wealthtech Advances The Client Experience

Wealthtech Has Already Changed The Client Experience And Clients Demand More, Which Can Open New Opportunities For Advisors And Wealthtech Firms

By Larry Roth

/ 9 Apr 2024

Growth By Acquisition For Any Size Advisory Business

Plus Wealthtech And News Roundups, Wealthtech Trends, YCharts’ Survey, RBC On Falling Interest Rates, Berthel Fisher On Transition Support, And PreciseFP Teams Up With FP Alpha

By Larry Roth

/ 3 Apr 2024

Growth By Acquisition For Any Size Advisory Business

Announcing The Top Women Industry Leaders

Plus My Quarterly M&A Review, AI And Behavioral Finance, The Deals & Recruiting Roundup, Binah Capital Goes Public, Raymond James’ Executive Moves, Proactive Compliance, Early Succession Planning, FusionIQ’s New Strategic Advisor, Caprock’s First Acquisition And Vestmark’s Partnership With Pensionma

By Larry Roth

/ 27 Mar 2024

Announcing The Top Women Industry Leaders

M&A Optimism Amid Lofty RIA Valuations, And Rising Costs For Small IBDs

Experts From NewEdge Capital Group, Prospera Financial Services, Berkshire Global Advisors And Fusion Financial Partners Discuss What’s Driving M&A In 2024

By Larry Roth

/ 21 Mar 2024

Technology Is Making Compliance Departments More Proactive

Through Your Clients’ Eyes: Wealthtech Advances The Client Experience

M&A Optimism Amid Lofty RIA Valuations, And Rising Costs For Small IBDs

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