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FSI’s OneVoice Conference Addresses Advocacy, AI, Retirement And More

Plus Our Deals & Recruiting Roundup, Our Annual Guide To Wealthtech Conferences, Cerulli’s Report On AI In Defined Contribution Plans, Sycamore’s New Surveillance Tool, Dynasty’s Recruits And CEG’s New Hires

Dale Brown, President & CEO, Financial Services Institute / EPNAC.com
Dale Brown, President & CEO, Financial Services Institute / EPNAC.com
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I was excited to see so many of you at the Financial Services Institute’s (FSI) OneVoice conference last week and have the opportunity to present alongside a distinguished panel. The mission of advocacy and engagement with political leaders remains critical to our industry. We bring you coverage of the conference, including FSI’s 2025 initiatives, a keynote on embracing change, a presentation on applying AI, and the panel discussing the retirement of advisors that I joined.

In addition, we bring you our Deals & Recruiting Roundup, our 2025 guide to wealthtech conferences, Cerulli’s findings on AI in defined contribution plans, Sycamore’s launch of a surveillance tool, Dynasty recruits from Goldman and CEG’s new executive hires.

Deals & Recruiting Roundup: This edition of the Deals & Recruiting Roundup covers DeVoe’s report on RIA M&A, Logic Capital’s merger with Mission Wealth, Sequoia’s acquisition of Carlson Capital, Arax’s acquisition of Cedrus Financial, The Wealth Alliance receiving a minority stake investment, Osaic partnering with Navy Federal, AlphaCore merging with enTrust Wealth Advisors, LPL recruiting father-and-son advisors, NewEdge’s Southeast recruits, EP Wealth’s Rosenberry returns in new role, Carson’s new California advisors and Dynasty’s latest recruiting.

Advocacy initiatives: FSI announced its 2025 priorities at its annual OneVoice conference, including regulatory modernization, tax treatment, regulation by enforcement, standard of care, investor education and protection, and the independent contractor status. FSI’s Chair of the Board of Directors, Tim Stinson, and President and CEO, Dale Brown, commented, along with other FSI executives and directors. In addition, April Rinne, Futurist and Change Navigator, gave the opening keynote address, “Finding Certainty in an Uncertain World.”

AI and retirement panels: At the OneVoice conference, I participated in a panel on retirement of advisors, alongside moderator Sheena Gray, CEO of the Association of African American Financial Advisors; Gary Baker, President of Undivided Wealth; and Drew Hirschler, Business Consultant at AssetMark.

On the same day, Todd Cooper, Chief Revenue Officer at TIFIN AG, hosted a panel on firms using AI with Mike Zebrowski, Chief Operating Officer at Docupace Technologies; Joseph Kuo, CEO and Founder of Haven Tower Group; RP Sandilya, Senior Vice President at Broadridge Financial Solutions; and Tina Hollinger, FVP Product Manager at Axos Clearing.

Wealthtech conferences: Our 2025 Guide to Industry Conferences series kicks off with our annual review of leading wealthtech conferences, providing you with key information about each conference. The 2025 wealthtech installment covers Orion Ascent, the T3 Technology Conference, the Future Proof Festival, the WealthStack section of the Wealth Management EDGE conference and Nitrogen’s Fearless Investing Summit.

Advisor surveillance: The Sycamore Company released a new surveillance platform for broker-dealers that was created to enable them to surveil advisor activity. Sycamore’s President and Founder, Mike Overdorf, commented.

DC plans and AI: The retirement industry is starting to adopt AI into certain defined contribution plans and gauging how new functionality can be integrated in the coming years, according to the latest Cerulli Edge—U.S. Retirement Edition report. Adam Barnett, Cerulli Senior Analyst, commented.

Maryland recruit: Chevy Chase, Maryland-based TritonPoint Wealth, with about $1.6 billion in AUM, joined the Dynasty Financial Partners advisor network. The ex-Goldman Sachs firm selected Fidelity and Schwab as custodians. TritonPoint Partner Andrew Schiff and Dynasty CEO Shirl Penney commented.

Coaching and consulting hires: CEG Worldwide and its CEG Insights division announced the appointments of Dennis Gallant as Managing Principal, Strategic Solutions at CEG Insights; and Kirk J. Hulett as Managing Principal, Team Solutions at CEG Worldwide. Gallant, Hulett and John Bowen, CEO of CEG Worldwide and CEG Insights, commented.

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Larry Roth
CEO
Wealth Solutions Report

Larry Roth

Larry Roth

As founder and CEO, Larry Roth guides Wealth Solutions Report's direction and provides wealth industry commentary. Former CEO of Advisor Group (Osaic) and Cetera. Founder and Managing Partner of Ascentix Partners and board member at wealth firms.

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