Our team was excited to attend the Institute for Portfolio Alternatives (IPA) 2026 Summit in Washington, D.C. from April 29 to May 1 as a media partner. It provides advisors and other industry leaders a chance to learn the latest at the confluence of private markets, on the one hand, and the regulatory and legislative environment, on the other. We bring you coverage of the event, including discussions with SEC officials, a senator and executives from FINRA and the Department of Labor.
IPA Summit Spotlights Private Markets, Regulation And Capital Formation
The first day of the IPA Summit included keynote presentations with Nathaniel Stankard, Executive Vice President and Chief of Staff of FINRA and SEC Commissioner Hester M. Peirce, as well as Sen. Tim Scott.
Conversations focused on private markets, capital formation and regulatory initiatives.
Liquidity, Regulation And Alts Access Among IPA Summit Topics
At the IPA Summit, Anton Marinchik of Monroe Capital moderated a panel on private credit’s rapid growth, redemption pressures and whether semi-liquid structures are working as designed. Panelists included Bora Lim of Bank of America, Derek Schwartz of CION Investments, John Cole Scott of CEF Advisors and Daniil Shapiro of Cerulli Associates.
Jason Goode, IPA Chair and Partner at Alston & Bird, also moderated a panel on policy, regulation and the future of alternatives with Sebastian Gomez Abero of the SEC’s Division of Corporation Finance and Sarah ten Siethoff of the SEC’s Division of Investment Management.
Advisor Executives, DOL Address Alts Access At IPA Summit
Also at the IPA Summit, Matthew Malone of Opto Investments moderated a panel on private credit with Patrick McGowan of Sanctuary Wealth, Robert Picard of Hightower Advisors, Karim Simplis of Dynasty Financial Partners and Will Sterling of TritonPoint Wealth.
Daniel Aronowitz, Assistant Secretary of Labor for the Employee Benefits Security Administration at the DOL also spoke on retirement policy and access to private markets.
AI Washing: What It Is And How Advisors Can Spot It
In my quarterly review of the wealthtech space, I bring you the views of John O’Connell of The Oasis Group, Sid Yenamandra of SurgeONE.ai, Babu Sivadasan of JIFFYAI, Sindhu Joseph of CogniCor and Susan Theder of FMG on the rising problem of AI washing in wealthtech.
We explore what it is and how advisors can tell the difference between “washed” AI and genuine AI.
Bridging Alternative Investments And M&A
Ryan Halls of Hue Partners and Brendan Lake of PPB Capital Partners discuss how M&A can open the door to alternatives, which firms can use to grow via a strategy including education, scale, quality, trust and centralization.
This article accompanies a video interview between Halls and Lake in the Hue Partners: M&A Confidential video series.
Dear Ryan – Wealthtech Industry Advice For All
What’s the difference between a hard season and a real signal? In the latest installment of Ryan George’s advice column, he advises someone who feels that a job of 11 years looks right on paper, but something is amiss. George is the Chief of Staff at Docupace.
Ryan focuses the reader on one question: “Is there a version of this place that you’d want to stay for?”
How Advisors Can Navigate Tax Law Changes And Estate Planning With Their Clients
WSR interviewed Andrew J. Plum of Loxahatchee Capital, an Elevation Point partner firm. Plum explained what the latest tax shifts mean for families navigating estate planning, strategies for complex family situations and common mistakes when estate planning and investments are misaligned.
Plum reviews vehicles and strategies that can help advisors stand out as tax-savvy.
No Longer A “Leap Of Faith”: Advisors Go Independent With Intent And Momentum
The movement to advisor independence continues, but it has evolved, according to Joseph Femia of Seven Bridges Wealth Advisors, Louis Diamond of Diamond Consultants, Frank LaRosa of Elite Consulting Partners and Robert Coppola of Sanctuary Wealth.
Wirehouse advisors used to go independent for autonomy, but now they also look to add long-term enterprise value, scalability and strategic control.
How Advisors Can Future-Proof Their Firm Before A Sale
Jason Inglis of Trilogy Financial discusses how advisors should prepare for a sale long before it happens. He covers factors including operations, technology, team structure, a solid book, early preparation, client retention and more.
“Preparation should start early. Ten years is ideal. Three to five is the minimum,” says Inglis.
Deals & Recruiting Roundup
This week’s roundup features acquisitions by Waverly and iAltA; RFG staking Zocks; business launches by Cetera, Corient and Sowell; Merchant partnering with Emerge; recruiting by Osaic, Mariner and Raymond James; iCapital working with Anthropic; and an appointment by Accelerated Wealth.
You know AI in wealth management is getting serious when Anthropic arrives.
WSRIA Roundup
Our roundup of April’s top RIA stories features acquisitions by Savant, Wealth Enhancement, Aspen Standard and Creative Planning; investments by Constellation, Rise Growth, Summit, WPCG and HGGC; NewEdge partnering with Stonegate; Gerber Kawasaki partnering with Altruist; Mercer launching its Women & Wealth practice; and an appointment by Howard Capital.
Strategic investments made a strong showing in this month’s news.
Cetera Combines Two Units Into RIA Cetera Planning Partners
Cetera launched Cetera Planning Partners, an employee-advisor RIA that combines its Avantax Planning Partners and The Retirement Planning Group RIA divisions. The combined company will have 100 advisors with about $19 billion in AUA.
According to Cetera, its creation of Cetera Planning Partners is part of its efforts to expand its employee-advisor RIA community through growth and “strategic transactions.”
Sowell Pivoting To High Net Worth With Launch Of Cache River
Sowell Management announced the launch of Cache River Private Wealth to offer households with over $5 million in net worth a “family office lite” experience. Rob Emrich III will serve as Chief Growth Officer for Cache River.
Cache River will also provide advisors with a partnership program to support growth, succession, continuity and long-term business development.
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Larry Roth
CEO
Wealth Solutions Report
