Will More Wealth Advisors Gravitate to 401(k) Plans?
Wealth Management
JUNE 30, 2025
Despite limited ERISA expertise, wealth advisors face growing pressure to service 401(k) plans as state mandates drive unprecedented plan formation through 2029.
Planning Wealth Advisor Wealth Management 
EP Wealth Advisors Acquires $1B Minot Wealth Management
Wealth Management
SEPTEMBER 29, 2022
The move establishes EP Wealth's presence on the East Coast, and marks milestone in the firm's planned national expansion.
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Deals & Moves: Focus Partners Wealth Merges in $5.6B California RIA
Wealth Management
JULY 3, 2025
California RIA Deals & Moves: Focus Partners Wealth Merges in $5.6B California RIA Deals & Moves: Focus Partners Wealth Merges in $5.6B California RIA Deals & Moves: Focus Partners Wealth Merges in $5.6B California RIA Deals & Moves: Focus Partners Wealth Merges in $5.6B
Edward Jones Buys Natixis’ Overlay Management Services to Power its UMAs
Wealth Management
JUNE 30, 2025
Will More Wealth Advisors Gravitate to 401(k) Plans? at Natixis IM, said in a statement.
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Adviser links: rolling in rollovers
Abnormal Returns
NOVEMBER 4, 2024
awealthofcommonsense.com) Bogumil Baranowski talks the digitization of wealth management with Julia Carreon. podcasts.apple.com) The biz Facet Wealth has a new pile of capital to invest. riabiz.com) Mariner Wealth Advisors just took a big investment from Neuberger Berman. kitces.com)
Equitable Sets 15% Growth Target for Wealth Management By 2027
Wealth Management
JULY 20, 2023
Equitable Advisors plans to get there by growing its share of wealth advisors, emphasizing holistic life planning and doubling down on its “supported independence” model.
#FASuccess Ep 425: Implementing A Financial Planning Quality Control System To Improve Both Client Outcomes And Referrals, With Sebastian Guerra
Nerd's Eye View
FEBRUARY 18, 2025
Sebastian is the President of Guerra Wealth Advisors, a hybrid advisory firm based in Miami, Florida, with nearly $15M of revenue and almost 60 team members, supporting over 1,700 client households. My guest on today's podcast is Sebastian Guerra.
Steering Clients Away From Investing Mistakes
The Big Picture
MAY 3, 2025
Douglas Boneparth of Bone Fide Wealth, Jennifer Li of EP Wealth Advisors, and yours truly. billion in assets under management.
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Adviser links: a unique experience
Abnormal Returns
NOVEMBER 18, 2024
Podcasts Daniel Crosby talks with Christina Lynn about Motivational Interviewing in order to enhance the work of wealth advisors. kitces.com) Tax planning and wealth management go hand-in-hand. standarddeviationspod.com) Brendan Frazier talks with Doug and Heather Boneparth about the keys to success for a couple.
10 Investment Must Reads for This Week
Wealth Management
JUNE 11, 2024
Family offices plan to be active acquirers of stakes in private companies, according to a study by BNY Mellon Wealth Management. These are among the investment must reads we found this week for wealth advisors.
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Adviser links: success rates
Abnormal Returns
JANUARY 13, 2025
riabiz.com) The biz A Q&A with Dave Welling CEO of Mercer Advisors about their new equity partner. citywire.com) Mariner Wealth Advisors has purchased institutional consultant Cardinal Investment Advisors. kitces.com) 9 questions for Bob Veres about future of wealth management. 199A deductions.
Convergence, Small Plan Explosion and Activating Wealth Advisors Dominate RPA Broker/Dealer Roundtable
Wealth Management
SEPTEMBER 9, 2024
Attendees got heated talking about record keepers investing in and promoting services that compete with advisors.
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401(k) Industry Sends Urgent Call to Wealth Advisors
Wealth Management
NOVEMBER 13, 2023
Convergence and the growth of new plans are beyond what RPAs can handle.
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As the Number of 401(k) Plans Grows, Why Are RPAs Shrinking?
Wealth Management
DECEMBER 18, 2023
Cerulli data shows what would entice wealth advisors to manage defined contribution retirement plans.
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Will Wealth Advisors Ever Get Interested in the 401(k) Plan Business?
Wealth Management
NOVEMBER 14, 2022
There’s no sign they will so far.
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10 Investment Must Reads for This Week
Wealth Management
JULY 16, 2024
BlackRock’s plans to leverage its recent acquisition of Preqin to build private market ETFs have drawn skeptics, reports the Financial Times. These are among the investment must reads we found this week for wealth advisors. Fortune profiled nine executives in the burgeoning private credit arena.
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10 Must Reads For This Week (Oct. 15, 2024)
Wealth Management
OCTOBER 15, 2024
Alternative asset managers want to bring their products to defined contribution plans by using collective investment trusts and interval funds, reports The DI Wire. These are among this week’s investment must reads for wealth advisors. BlackRock launches a new tech feature for real-time monitoring of private markets data.
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Two Bay Area Firms Merge to Create $400M RIA
Wealth Management
JANUARY 2, 2025
Treehouse Wealth Advisors will acquire The Humphreys Group as part of a long-term succession plan.
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Eight Investment Must Reads This Week
Wealth Management
MARCH 19, 2024
Partners Group is dipping its toes into royalties investing with plans to debut a fund for the wealth channel eventually. These are among the investment must reads we found this week for wealth advisors. Grayscale has signaled that it intends to lower fees on its Bitcoin ETF.
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Two Bay Area Firms Merge to Create Nearly $500M RIA
Wealth Management
JANUARY 2, 2025
Treehouse Wealth Advisors will acquire The Humphreys Group as part of a long-term succession plan.
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What Does an IPO Mean for Stock Options? What Happens to Employees When a Company Goes Public
Darrow Wealth Management
NOVEMBER 7, 2024
Exercise strategy: Timing: Consider the tax implications of exercising vested options before or after the IPO, timing of sales, and tax planning opportunities. Sales and trading plan: Taking profits: Once the lockup period ends, consider diversifying your holdings to reduce risk.
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From Unprofitable To $115M AUM: Reinventing A 2nd Generation Advisory Business By Finding The Right Niche
Nerd's Eye View
JULY 10, 2023
As owners of financial planning firms approach retirement, some may decide to sell to an external buyer, while others may plan for an internal succession. Sometimes, this succession plan can include the owner's child, providing an opportunity to keep the business in the family.
Why Wealth Management Isn’t What It Used to Be
International College of Financial Planning
JUNE 5, 2025
When I first stepped into the world of wealth management, we didn’t have fancy dashboards. These days, wealth is younger, faster, and more digital than ever – layered with complexities we didn’t even dream of back then. Lets be real for a moment. Clients were all about one thing: performance.
Adviser links: humble projections
Abnormal Returns
JULY 10, 2023
Podcasts Meb Faber talks with Blake Street is a Founding Partner and CIO of Warren Street Wealth Advisors. mebfaber.com) Ashby Daniels talks with Hannah Moore about "doing" financial planning. wiredplanning.com) Laurence Kotklikoff talks with David Blanchett about problems with conventional financial planning tools.
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#FASuccess Ep 428: Leveraging (Salesforce) CRM To Really Systematize A Mid-Sized Advisory Firm, With Lorie Jones
Nerd's Eye View
MARCH 11, 2025
Welcome to the 428th episode of the Financial Advisor Success Podcast ! Lorie is the wealth manager of Fearless Financial Advisors, a dba of hybrid advisory firm Fidelis Wealth Advisors based in Castle Rock, Colorado, where Lorie personally oversees $30 million in assets under management for 88 client households.
Sequoia Pens Deal to Acquire $3.8B Minneapolis-St. Paul RIA
Wealth Management
JANUARY 29, 2025
The deal with Carlson Capital Management is Sequoias largest by number of employees and wealth advisors. It also allows the firm to offer internal tax planning and preparation services.
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How to Find a Fee-Only Financial Advisor
Darrow Wealth Management
FEBRUARY 13, 2025
When starting to search for a financial advisor, investors may not realize the different types of advisors out thereand theyre not all trying to sell you something. If youre looking for a fee-only financial advisor or wealth manager, its probably because you know fee-only advisors don’t sell products.
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How to Find a Fiduciary Financial Advisor
Darrow Wealth Management
NOVEMBER 4, 2024
Looking to find fiduciary financial advisors and wealth managers? Only fiduciary advisors are legally bound to act in your best interest at all times. Here are five ways you can find a full-time fiduciary financial advisor. What is a fiduciary advisor?
Adviser links: the RMD mentality
Abnormal Returns
AUGUST 5, 2024
Podcasts Michael Kitces talks divorce planning with Michelle Klisanich who is a Wealth Advisor for Financially Wise Divorce. kitces.com) Matt Zeigler talks with Wade Pfau about managing sequence of returns risk in retirement. youtube.com) Ted Seides talks with Jeff Assaf who is the founder and CIO of ICG Advisors.
Register Now for Future Proof 2023!
The Big Picture
MAY 11, 2023
This is the next generation of the wealth management industry, and they showed up in droves because they want to be cutting-edge and stay ahead of the curve. Our 2022 FP had attendees from all over the country and the world, with an average age far younger than the typical financial conference.
Managing Sudden Wealth
Darrow Wealth Management
JUNE 14, 2023
Depending on the nature of the windfall, planning opportunities and considerations will vary. Managing sudden wealth paid in cash after the sale of a business or winning the lottery also requires planning, but perhaps with a bit less to unpack in the beginning. But they should always be a key consideration.
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Nuvama Wealth Management – Future Plans and Business Model Explained
Trade Brains
JULY 4, 2024
Nuvama Wealth Management: Forget glowing wealth advisors and generic investment plans. In the hushed chambers of Nuvama Wealth Management Ltd, a different kind of wealth management unfolds. Nuvama’s client-centric approach offers a comprehensive suite of wealth management solutions.
The 15 Best Financial Advisor Websites
FMG
OCTOBER 14, 2022
Financial Freedom Wealth Management Group. Based out of Newport, Oregon the Financial Freedom Wealth Management website focuses on retirement planning services. Check out the site here: Financial Freedom Wealth Management. Peabody Wealth Advisors. Marrero Wealth.
6 Ways to Manage Concentrated Stock Positions
Darrow Wealth Management
MARCH 13, 2025
The situational nature of planning to diversify one large position cannot be over-emphasized, so it’s important to work with a financial advisor who has experience in this area. So if you have a large portion of your wealth tied to a single stock, here are six options to manage it.
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10 Brilliant Financial Advisor Websites from Osaic That Drive Results
FMG
MAY 14, 2025
Here are 10 standout Osaic advisor websites that highlight what makes a financial advisor site standout while bringing traffic to their site. Mirus Planning The Mirus Planning website lets visitors hover over their demographic to learn exactly how the firm can help them reach their financial goals through the years.
Q&A: How Tax Practices Can Work with Wealth Managers to Grow Client Relationships
Harness Wealth
OCTOBER 16, 2024
We recently connected with Michael Paley, Chief Operating Officer of Klingman & Associates , for a Q&A on how tax advisors can collaborate with wealth managers to better serve clients. Q: How can tax advisors align with the work of wealth advisors? Unlike an endowment, taxes really matter.
Jon Dauphiné and Dave Mantell on the Societal and Business Value of Delivering Pro Bono Financial Planning
Steve Sanduski
NOVEMBER 8, 2023
is the CEO of the Foundation for Financial Planning, the U.S.’s ’s leading 501(c)(3) charity devoted to expanding access to pro bono financial planning for people in need. Dave Mantell , CFP®, CFA is a Managing Partner and wealth advisor at Stabler Wealth Management in Bellevue, WA.
The Succession Conundrum: How Advisors Can Balance Legacy and Liquidity
Diamond Consultants
DECEMBER 16, 2024
By Allie Brunwasser & Jason Diamond Its no secret that the wealth management industry has a major impending crisis: A shortage of quality next gen advisor talent. Option 2: Sell the business to a strategic buyer A quality wealth management business is like the holy grail: everyone wants it.
Adviser links: additional designations
Abnormal Returns
JANUARY 16, 2023
(standarddeviationspod.com) Michael Kitces talks with Lisa Brown who is a Partner and Wealth Advisor for CI Brightworth about finding your ideal clients. thinkadvisor.com) Taxes Some steps you can take to upgrade your tax-planning game. blogs.cfainstitute.org) How Merit Financial Advisors is building out its tax practice.
How to Optimize Your LinkedIn Headline
Indigo Marketing Agency
APRIL 28, 2023
Just for fun, let’s take a look at some real-life terrible headlines: “I love 401(k) plans!” Who do you sell 401(k) plans to? Terms like “Wealth Manager,” “Financial Advisor,” and “Estate Planning” are more powerful than “Founder,” “Managing Partner,” or “CEO” from a keyword search perspective.
Financial Advisor Website Showcase: Navis Wealth Advisors
FMG
JULY 14, 2022
For today’s Advisor Website Showcase, we are joined by Letizia Carlisto of Navis Wealth Advisors. Making use of FMG’s website engine, Navis Wealth Advisor took aim at creating a website themed around its logo – the compass. .” Let it reflect who you are as a company and where you plan to go.
What To Do With The Money From The Sale Of Your Business
Darrow Wealth Management
OCTOBER 28, 2024
Deciding how to allocate and invest the proceeds after the sale of your company is a big decision that requires careful planning. If you are expecting a sudden windfall , develop a plan to allocate the proceeds and reinvest in your future. Are you planning to retire? Create a formal financial plan.
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What Happens to Your Stock When a Company is Bought?
Darrow Wealth Management
OCTOBER 21, 2024
Planning note: If you have vested incentive stock options, you’ll want to consider the pros and cons of exercising before the deal closes. Substitution is more common as the acquirer will only assume equity compensation if they plan to keep the target company as its own independent business.
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The Wealth Management Digest
Zoe Financial
NOVEMBER 13, 2023
The Wealth Management Digest Featuring Zoe CEO & Founder, Andres Garcia-Amaya, CFA November 14, 2023 Watch Time: 3 minutes Transcript : Welcome to this week’s Zoe’s Wealth Management Digest. That’s why Zoe’s extensive vetting process qualifies only the top 5% of managers in the United States.
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