Right now, the biggest stories for ria firm owners: RIA roll-ups keep reshaping independence and succession decisions; SEC and FINRA intensify pressure on advisor compliance; FinCEN delays AML rule as retirement compliance stays tight — and 2 more. Real stories, real sources, updated every few hours. Not generated guesses.
M&Ahigh engagement
RIA roll-ups keep reshaping independence and succession decisions
A large cluster on RIA industry consolidation, including roll-up economics, private-equity pressure, advisor breakaways moving back toward centralized firms, succession timing, and major transactions across independent wealth firms.
Draft a post from this →compliancehigh engagement
SEC and FINRA intensify pressure on advisor compliance
Signals around heightened compliance attention for RIAs, including an SEC Division of Examinations risk alert on economic conflicts of interest, related legal commentary, FINRA disciplinary actions against advisors, and broader reminders about fiduciary obligations, disclosure, fees, custody, and social media use.
Draft a post from this →AMLmedium engagement
FinCEN delays AML rule as retirement compliance stays tight
A policy cluster centered on regulatory timing changes for advisory firms: FinCEN's investment adviser AML rule is delayed to 2028, while DOL fiduciary-rule developments and VFCP materials keep retirement-advice compliance in focus.
Draft a post from this →custodyhigh engagement
RIAs race toward AI-native platforms and new custodians
RIAs are rethinking their core operating model through custodial switches, integrated tech stacks, and AI-native workflows. Signals include Holistic Planning's move to Altruist, Texas RIA operating-system buildouts, platform intelligence launches, and broader custody and data-integration tooling.
Draft a post from this →custodianshigh engagement
Custodians and platforms are fighting harder for advisor assets
Competition among large platforms and custodians is accelerating, with Fidelity entering ETF share classes, Schwab and Vanguard jockeying for retirement assets, LPL posting strong asset growth, and multiple advisor recruiting wins and platform hires reinforcing the battle for distribution.
Draft a post from this →