Once an RIA makes the decision to take the leap into podcasting, the next question is how to leap wisely. It’s not a leap of faith, but rather a calculated maneuver that brings the firm into the podcasting world with reliable processes, compelling guests, fitting hosts and measurable progress indicators. This week, three podcasting veterans unpack how an RIA can successfully launch a podcast.
Keep Moving Forward: A Story Of Endurance, Friendship And Giving Back
Mutual Group’s Aaron Jasper reflects on endurance, friendship and taking the long view through climbs of Mount Whitney and Mount Langley and years of racing with longtime friend Rob Balucas after a cycling accident left Balucas paralyzed.
Jasper connects those lessons to advisory firm growth and his goal of completing 10 marathons before age 50. He and Balucas are raising money for the Challenged Athletes Foundation as they prepare for the TCS New York City Marathon.
Stop Chasing UHNW Clients. Build A Business They Need And You Can Manage.
Emily Blue of Hue Partners and April Rudin of The Rudin Group discuss why RIA founders moving upmarket need to build the talent, service model and referral network required to serve ultra-high net worth clients well.
This article accompanies a video interview between Blue and Rudin in the Hue Partners: M&A Confidential video series.
Regtech Surge: AI Will Be Controlled As Long As Humans Can Pull The Plug
In his latest Regtech Surge column, Sid Yenamandra of SurgeONE.ai examines what human oversight should look like as RIAs and broker-dealers use AI in compliance, including where AI monitoring and AI-drafted policies can fail without qualified review.
Yenamandra argues firms should make AI review qualified, documented and repeatable, with clear accountability for who reviews outputs, approves tools and escalates incidents.
This Time It’s Different. Or Is It?
We asked Domify’s Anshuman Mehta, Feathery’s Zack Khan, WealthFeed’s Brian Scott and CogniCor’s Sindhu Joseph whether Anthropic’s Claude for Financial Advisors is disruptive, validating or both for their segments.
Their responses examine the battle for the advisor interface, AI orchestration, specialized workflows, proprietary data and the pressure on vertical AI platforms to prove their value.
How RIAs Can Build A Podcast That Actually Works
Marie Swift of Impact Communications, Ashten Legg of RFG Advisory and Matt Ackermann of Integrated Partners discuss how RIAs can build a podcast that works.
Firms need the right host, a clear production process, compelling guests and a way to measure whether the effort is creating value.
Women Advisors On The Path To Ownership
Transitioning to independence can present unique challenges for women advisors, as well as opportunities to play to their strengths.
We discussed the most important traits needed for a move to independence, the strengths women advisors bring to an independent business and industry changes that could widen access to ownership for women advisors with Brittany L. Hartnett of OpenArc Corporate Advisory, Amy Drinkard of Steadmont Advisors and Casey Jorgensen of Cyndeo Wealth Partners.
Jason Roberts On ERISA Compliance And The Retirement Plan Business
Jason Roberts of Pension Resource Institute discusses how firms can build the expertise and infrastructure needed to serve retirement plan sponsors and participants.
Roberts also discusses pooled employer plans, his firm’s consulting model and how retirement plan services can fit into broader wealth management growth strategies.
Deals & Recruiting Roundup
This week’s roundup includes M&A by Cerity Partners, Verdence, CAPTRUST, Corient and F2 Strategy; recruitment by LPL and RBC; and appointments by Hightower, EP Wealth, Mercer, Merit and Composition Wealth.
This was an important week for new hires, promotions and changing the guard at many firms.
Invest In Others Honors Advisors For Philanthropy On Its 20th Anniversary
Invest in Others marked its 20th anniversary by honoring five financial advisors for charitable leadership, including Michael Skrynecki of Raymond James for lifetime achievement.
Over its first two decades, the foundation provided more than $10 million in grants to more than 860 nonprofits and recognized more than 1,000 financial advisors for their charitable work.
TAG Advisors: Proudly Building On Its OSJ Bona Fides
Jim Roth spoke with Gregory Raines of TAG Advisors about why the firm continues to embrace the OSJ structure as many peers move away from the label, and how its Enterprise OSJ model combines Cambridge’s infrastructure with additional advisor support.
Raines also discusses which capabilities TAG chooses to build, where it relies on Cambridge Investment Research and the type of independent advisor the firm is designed to serve.
Composition Wealth Hires General Counsel And CCO, Head Of Advisors
Composition Wealth appointed Gabrielle Glemann as General Counsel and Chief Compliance Officer and Joe Salcido as Head of Advisors.
Glemann brings 20 years of financial services experience, while Salcido brings more than two decades across sales, trading and operations.
DeVoe: RIA M&A Activity Is Down 19% So Far In Q3
DeVoe & Company said RIA M&A activity is down 19% so far in Q3, with 72 transactions announced through Sept. 22. David DeVoe said the slowdown may reflect delayed sale decisions rather than a change in the long-term drivers of RIA M&A.
He expects approximately 78 transactions in Q4 and about 317 for 2026, which would put the year just below 2025’s record.
Savvy Wealth Launches New RIA Custodial Platform
Savvy Wealth launched Savvy Custodial Platform, a new platform for RIA owners and firms that the company says can onboard clients in as little as 90 seconds and move assets in a few clicks.
Savvy’s Ritik Malhotra told WSR that the platform uses AI to accelerate data collection and validation. He also said that more than $2 billion in assets are already committed from advisors.
Prudential Advisors Rebrands As Prudential Wealth Advisors
Prudential Advisors is now Prudential Wealth Advisors, a rebrand the firm says reflects its expansion beyond protection and retirement into broader wealth management.
President Pat Hynes said the new name indicates the broader planning work advisors are doing.
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Larry Roth
CEO
Wealth Solutions Report
