Fragmented Compliance, Private Markets Poised For Growth

At WSR, we’ve been monitoring and reporting on the growth trend for private market investments. Hamilton Lane’s report confirms that we are still in the early innings on the development of private markets for advisors’ clients. We expect to see much more this year as clients seek access to private equity, private credit and venture capital deals.

We’re on location at FSI OneVoice this week. Look for our coverage!

More Tools, More Risk: Five Steps To Solve The Fragmented Compliance Problem

Larry Shumbres of Archive Intel describes the problems that arise with fragmented compliance and off-channel communications, providing five steps for advisors and firms to solve the regtech platform puzzle.

Shumbres argues that unintegrated regtech solutions can lose the context of client conversations, which is crucial for SEC compliance.

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Berkshire Global: U.S. RIA Deal Volume Sets Record In 2025

Berkshire Global Advisors released its 2025 RIA M&A report, showing the largest number of transactions on record for the U.S. wealth management industry.

The report said that drivers behind the M&A surge include climbing client expectations, the need to scale and higher valuations making sales to younger internal advisors more expensive.

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Hamilton Lane: Private Market Investing To Soar In 2026

Interest in private market investments will soar this year, according to the results of a global survey of RIAs and other wealth management professionals by Hamilton Lane in partnership with Wakefield Research.

Among respondents, 86% said they intended to increase private markets allocations.

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Deals & Recruiting Roundup

This week’s roundup covers acquisitions by Corient and Bluespring, M&A research by Berkshire, new services by AssetMark and Wealth.com, recruiting by LPL and NewEdge, a minority stake by Elevation Point, Farmers launching an RIA, Lifeworks partnering with Altruist and appointments by Sowell and the Foundation for Financial Planning.

AssetMark and Wealth.com make forays into new territory.

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FFP Announces New Chair And Vice Chair

The Foundation for Financial Planning (FFP) announced its 2026 Board of Trustees, which includes Yonhee Choi Gordon, who has shifted to Chair for 2026 from Vice Chair in 2025, and Terri Fiedler, who has been elected Vice Chair.

FFP is a major charitable organization in the wealth management space, mobilizing volunteers and donations for the needy.

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LPL Adds $2 Billion Ohio Advisor Team

LPL Financial announced that Ohio wealth advisors Breanne Bovara and Derrick Petry joined the firm’s W-2 channel, Linsco, to launch Moto Wealth Partners. The advisors reported serving about $2 billion at their prior firm, Fifth Third Private Partners.

Moto, with offices in Cincinnati and Dayton, focuses on high net worth and ultra-high net worth families.

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Patent Perspectives: A New Year, A Sharper Value Proposition For Wealth Teams

For this month’s Patent Perspectives column, Prudential Advisors’ Pat Hynes explains the benefits of scale amidst industry consolidation and evolution.

Hynes discusses tighter platform integration and cohesive advisor experience.

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Sowell Management Names Daryl Seaton As CEO

Sowell Management named former President Daryl Seaton as its CEO, while Founder and former CEO Bill Sowell assumes the role of Chief Strategy Officer.

Bill Sowell will take a leading role in finding and executing inorganic growth transactions.

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Farmers Launches RIA Farmers Asset Management

Insurance provider Farmers launched a full-service RIA, Farmers Asset Management, as an affiliate to its broker-dealer Farmers Financial Services. The RIA is expected to increase wealth management services available for clients.

Farmers selected Charles Schwab for custody and Orion for technology and investment platforms.

Find out more.