Thought Leadership
Become aware of the recent trends. Position your practice to take advantage of the knowledge ahead of the curve.
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Compliance Experts Warn Shutdown Could Trip Up New RIA Registrations
From Wealth Management
Added on October 2025 in Thought Leadership
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Summary: As the latest federal government shutdown extends into days (and potentially weeks), the regulatory agency overseeing federally-registered RIAs is operating with a skeleton crew. While a government shutdown impacts operations at the Securities and Exchange Commission (SEC) to varying degrees, among those most affected could be new RIAs with significant managed assets looking to register, according to compliance experts.
Getting Financial Advice in the Age of AI
From Advisorpedia
Added on August 2025 in Thought Leadership
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Summary: Like other areas of our lives, the presence of artificial intelligence for people’s money matters is growing rapidly. From robo-advisors and budgeting apps to algorithms that automate investing, AI is reshaping how people engage with their money. Yet despite the rise of these tools, when it comes to financial advice, Americans report still preferring advice from a human financial advisor.
Client retention is job number one
From InvestmentNews
Added on March 2025 in Thought Leadership
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Summary: Now that we’re back from the end-of-the-year celebrations, I’d like to draw your attention to a little-known date that should be part of every financial advisor’s calendar. January 2 is the day that most advisors should circle and celebrate – and for good reason.
AI Is Eating Wealth Management for Lunch. Here's How to Stay at the Table
From ThinkAdvisor
Added on February 2025 in Thought Leadership
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Summary: Artificial intelligence is eating the world. And for many people, it's already replacing Google in their daily lives.
The other day, my car sensor went off. Instead of wasting hours at the dealership — driving back and forth, waiting and probably overpaying — I pulled up ChatGPT. I described the symptoms (using voice transcription, not even typing), and seconds later, I had a clear solution. Fifteen minutes later, the problem was fixed. No hassle, no unnecessary expense.
CIOs Wrestle with DeepSeek Fallout
From Wealth Management
Added on February 2025 in Thought Leadership
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Summary: That volatility has advisor investment committees and CIOs grappling with whether DeepSeek represents a paradigm shift in AI that requires tweaking allocations or merely reintroduces some volatility in a disruption-prone sector that was bound to happen at some point.
