We are excited to announce that we launched WSR Podcasts on Sept. 1, introducing original audio and video programs for financial advisors and wealth management professionals. The new platform will provide you with the same high-quality thought leadership you expect from us in more formats for greater convenience.
Initially, we are bringing you three series of podcasts: Wealth Set Go examines capital structures, M&A, advisor recruiting, private equity and other transactions that drive growth in wealth management. I will be one of the rotating hosts. Talent Stack, hosted by Laurie Stack, will focus on the people behind successful wealth management businesses. WSR Radio presents audio versions of the five most read articles of the week.
We invite you to explore our podcasts and tell us what you think.
The DIY Execution Trap: Can Enterprise RIAs Really Build Their Own AI Infrastructure?
As AI technology improves, firms are increasingly able to create infrastructure around it, but there are hurdles, explains Brian Ross of Flyer Financial Technologies.
Ross unpacks where the do-it-yourself approach can cause problems and what firms should consider before turning an AI prototype into production infrastructure.
Paths To Growth And Ownership For Advisors
WSR spoke with Kate Quinn of Great Valley Advisor Group, about paths to growth and ownership for advisors.
Quinn discussed building an effective growth strategy, why operational frustrations cause advisors to change firms, why there is no single path to autonomy and how advisors can determine whether they are ready for ownership.
The Rollover Compliance Reset Firms Have Been Waiting For
Jason C. Roberts of Pension Resource Institute and Fiduciary Law Center explains why firms may need to reassess their rollover compliance programs following recent changes to Department of Labor guidance.
He examines when the PTE 2020-02 exemption applies, what the return of the five-part fiduciary test means and why firms should reconsider compliance obligations adopted during years of regulatory uncertainty.
The Most Important Client Interaction Happens Before The First Meeting
Meg Carpenter of Ficomm Partners challenges the assumption that high net worth investors rely primarily on referrals when choosing an advisor. Backed by results from her firm’s survey, she argues that referrals are merely the starting point for prospects on a due diligence process that progresses through many touchpoints.
She says that advisors must ensure they have a good digital reputation in order to earn the first meeting with the prospect.
WSRIA Roundup
This month’s roundup of RIA news includes acquisitions by Corient, Hightower, Wealth Enhancement, Merit, Sequoia, Allworth and MAI; Prime Capital and F.L.Putnam receiving investments; recruiting by Carson and Savvy; and research by ECHELON.
Corient’s two acquisitions involve firms with more than $25.9 billion in combined assets.
Deals & Recruiting Roundup
This week’s roundup includes an acquisition by Vanguard; investments by Constellation, Vistria and FTV; credit facility expansion by Steward Partners; recruiting by LPL, Raymond James and Cresset; a partnership between Brookwood and Amplify; an appointment by LPL; and research by Fidelity.
Fidelity Institutional reported 120 RIA transactions in the first half of 2026, down from 132 in the first half of 2025, while aggregate acquired assets increased to $342.9 billion from $182.8 billion.
Vanguard To Buy Altruist
Vanguard and Altruist said they entered into a deal under which Vanguard will acquire Altruist. The transaction is expected to close later this year.
The companies said Altruist is expected to operate as a standalone business after the closing, continuing with a focus on advisors as well as its brand, leadership and operating model.
Sagient Mentorship Program Addresses Advisor Shortage
We spoke with Sagient’s CEO, Paul Karlitz, about the firm’s Emerging Advisor Development Leader Partnership Program, that pairs “development leaders” with “emerging advisors.” We also spoke with a development leader in the program, Paul Kaye, as well as an emerging advisor, John Dellaporta.
Development leaders mentor emerging advisors by assisting in client engagements, demonstrating the advisory process, developing client opportunities in the field and delivering behind-the-scenes guidance.
LPL Picks Up $1.6 Billion Team From Cambridge
LPL Financial announced that it added Conte Wealth Advisors (CWA), an advisor team based in Camp Hill, Pennsylvania, with about $1.6 billion in advisory, brokerage and retirement plan AUM that had been affiliated with Cambridge Investment Research.
CWA, whose headquarters are located just outside Harrisburg, joined LPL’s broker-dealer and RIA platform on Aug. 18.
Patent Perspectives: Culture Is Key When It Comes to Reshaping Wealth Management
In his latest Patent Perspectives column, Pat Hynes of Prudential Advisors argues that as advisors become more selective about where they build their businesses, culture can be just as important as compensation, technology and platform capabilities.
He explores how collaboration, entrepreneurial freedom, advisor support and trust can differentiate firms competing for top talent.
Cerulli: What Advisors Want From Asset Managers
Competitive advantage for asset manager distribution increasingly reflects the quality of support for advisors over product access alone, Cerulli said while announcing findings from The Cerulli Report—U.S. Intermediary Distribution 2026: Supporting Advisor Success.
Cerulli said it found a significant “disconnect” between what distribution teams think advisors want and what they actually prioritize.
Thoughtful Dealmaking In A Dynamic Industry
Kris Emick of Cambridge Investment Group examines how rising valuations, competition for available practices and the growth of well-capitalized buyers are reshaping wealth management M&A.
He argues that sustainable dealmaking requires looking beyond price to operational quality, cultural alignment, flexibility and long-term fit.
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Larry Roth
CEO
Wealth Solutions Report
