NREI Feed

The integration is meant to assist advisors in more quickly finding compliance-approved content recommendations based on client meeting discussions.

The advent of state mandates requiring employers to offer a retirement plan has sparked an explosion in plan formation.

In other deals, private equity-held Simplicity Group acquires an RIA in Denver, and Integrated Partners lands a former Hightower advisor team.

Trevor Uhls faces up to 20 years in prison for the scheme that targeted at least 60 investors, while an attorney representing investors claims MML Investors Services missed “red flags.”

Chris Osmond of Fifth Third Wealth Advisors explains his firm’s asset allocation approach for ultra-high-net-worth clients and why rising yields pose the biggest risk.

Janney furthers its expansion into Texas by adding a team of Houston-based advisors departing Raymond James.

Trust & Will is the first digital estate planning platform to serve as a regulated corporate fiduciary.

Vince Hockett will leave the network of independent RIAs after it has more than doubled its membership to 2,401 advisors and widened its scope beyond startups.

In other advisor tech-related news, Focus Financial partners with AI provider Nevis, Deepvest rolls out financial planning suite and Acorns has acquired a social investing app.

Redacted by IDIQ’s Ken Eiden talks about cybersecurity, AI and how advisors can take a more proactive approach to protecting clients and their families.

After a controversy over a $6 million payment from its founder to a top Forbes editor prompted a suspension of advisor rankings, the firm is revamping its technology and research processes and introducing an Independence Charter to restore confidence in its lists.

Create measurable value first, then share in the profits.

In other people moves, T.D. Bank appoints a new U.S. wealth head, MAI Capital hires a former Barron's editor, and EP Wealth hires a Denver-based advisor from Curi RMB Capital.

The firms will collectively pay $4.4 million to settle claims by the North American Securities Administrators Association alleging that they charged unreasonable commissions to retail clients.

The best conference is not necessarily the one with the biggest crowd.

On a third-quarter earnings call, CEO Rick Wurster said Schwab Wealth Advisory is a growth opportunity for the firm; separately, he noted that the firm is working on a proprietary version of the popular long-short investment strategy.

Having a tool available and a firm being ready are two different things.

Reports from DeVoe, Piper Sandler and Fintrx show a lighter third-quarter deal market, but the analysts see no signs of slowing among capital-backed RIA consolidators.

After leaving UBS to launch Ox Road Capital, Michael Lee, Steve Armaly, and their partners crossed $1B in AUM in just 225 days. They share how years of client trust, partner alignment and a client-first vision helped make it possible.

Valla Wealth is operating as a DBA of The Invictus Collective, a Dynasty-backed firm, using the RIA’s proprietary tech stack and structured notes products.