Wealth Management
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Wealth Management is the digital resource of all things wealth management for financial advisors and estate planning.
Analysis of 13-F data shows the majority of RIAs have shied away from crypto ETFs, leaving them largely unscathed by pullback in crypto valuations.
Crypto Crash Tests Advisor Caution as Allocations Stay Low
Advisors weather crypto volatility with small ETF allocations as Bitcoin drops from $100K peak while most RIAs keep exposure under 1%
spr.ly
February 10, 2026 at 12:00 AM
Analysis of 13-F data shows the majority of RIAs have shied away from crypto ETFs, leaving them largely unscathed by pullback in crypto valuations.
In the latest in Stifel’s legal battles stemming from the sales of structured notes by former broker Chuck Roberts, the firm said this is just the "first step of judicial review of a runaway arbitration award that resulted from a biased and unfair FINRA process."
Judge Recommends Court Deny Stifel’s Motion to Vacate $133M Award
This is the latest development in Stifel’s legal battles stemming from the sales of structured notes by former broker Chuck Roberts.
spr.ly
February 9, 2026 at 10:30 PM
In the latest in Stifel’s legal battles stemming from the sales of structured notes by former broker Chuck Roberts, the firm said this is just the "first step of judicial review of a runaway arbitration award that resulted from a biased and unfair FINRA process."
Arete COO David Levine will succeed Founder Joshua Rogers as chief executive of the holding company, as Rogers transitions to executive chairman of the board.
$7B Arete Wealth’s Founder Steps Down as CEO
Arete COO David Levine will succeed founder Joshua Rogers as CEO of the holding company.
spr.ly
February 9, 2026 at 9:40 PM
Arete COO David Levine will succeed Founder Joshua Rogers as chief executive of the holding company, as Rogers transitions to executive chairman of the board.
A reckoning is coming as the DC industry shifts its focus to participant services.
Finding Middle Path for Advisors and Record Keepers
Advisors and record keepers must collaborate on participant services as wealth and retirement converge in workplace plans
spr.ly
February 9, 2026 at 6:24 PM
A reckoning is coming as the DC industry shifts its focus to participant services.
Money managers with exposure to AI software companies face jitters, posing a new challenge for private-market players who are already under scrutiny from regulators around the world.
Private Markets Push for World’s Wealthy Runs Into AI Meltdown
The salespeople on the front line of a private-markets push to win over the world’s wealthy are quite adept at fielding questions on opacity, liquidity and valuation. Their list of tricky talking points just got a new addition — the so-called SaaSpocalypse.
spr.ly
February 9, 2026 at 5:08 PM
Money managers with exposure to AI software companies face jitters, posing a new challenge for private-market players who are already under scrutiny from regulators around the world.
Deals & Moves 🤝
Waverly Makes 30th Deal, Coldstream Adds Oregon Office +
In addition, EP Wealth acquires a $390 million RIA, Beacon Pointe adds three firms with a combined $732 million in assets and $4 billion RIA Avidian adds a Houston-based advisor.
Waverly Makes 30th Deal, Coldstream Adds Oregon Office +
In addition, EP Wealth acquires a $390 million RIA, Beacon Pointe adds three firms with a combined $732 million in assets and $4 billion RIA Avidian adds a Houston-based advisor.
Deals & Moves: Waverly Makes 30th Deal, Coldstream Adds Office
In addition, EP Wealth acquires a $390M RIA, Beacon Pointe adds three firms with a combined $732M, and $4B RIA Avidian adds a Houston-based advisor.
spr.ly
February 6, 2026 at 11:00 PM
Deals & Moves 🤝
Waverly Makes 30th Deal, Coldstream Adds Oregon Office +
In addition, EP Wealth acquires a $390 million RIA, Beacon Pointe adds three firms with a combined $732 million in assets and $4 billion RIA Avidian adds a Houston-based advisor.
Waverly Makes 30th Deal, Coldstream Adds Oregon Office +
In addition, EP Wealth acquires a $390 million RIA, Beacon Pointe adds three firms with a combined $732 million in assets and $4 billion RIA Avidian adds a Houston-based advisor.
Four Lights Advisors and La Belle Vue Wealth Management are the latest to join David Kowach's hybrid broker/dealer, with a combined $250 million in pre-hire assets.
&Partners Picks Up Teams From Ameriprise, Wells Fargo FiNet
Four Lights Advisors and La Belle Vue Wealth Management are the latest to join David Kowach's hybrid broker/dealer.
spr.ly
February 6, 2026 at 9:00 PM
Four Lights Advisors and La Belle Vue Wealth Management are the latest to join David Kowach's hybrid broker/dealer, with a combined $250 million in pre-hire assets.
After years of operating under an independent broker/dealer, many advisors find themselves at an inflection point.
Have You Outgrown Your IBD or the Model Itself?
After years of operating under an independent broker dealer, many advisors find themselves at an inflection point.
spr.ly
February 6, 2026 at 8:00 PM
After years of operating under an independent broker/dealer, many advisors find themselves at an inflection point.
According to the DOJ, seven fraudsters posed as U.S.-based advisors on social media to manipulate stock prices, leading the share price to eventually drop 99%.
DOJ Recovers $214M From Investment Fraud Scheme
Seven fraudsters posed as US advisors to manipulate Chinese stock prices before DOJ seized $214M in proceeds for victim compensation
spr.ly
February 6, 2026 at 7:00 PM
According to the DOJ, seven fraudsters posed as U.S.-based advisors on social media to manipulate stock prices, leading the share price to eventually drop 99%.
WealthStack Roundup
Max unveils enterprise banking services, Zocks and spr.ly/63320hKj60 develop artificial intelligence integration, Allworth rolls out RISR, and Opto makes a key hire and rolls out AI.
Max unveils enterprise banking services, Zocks and spr.ly/63320hKj60 develop artificial intelligence integration, Allworth rolls out RISR, and Opto makes a key hire and rolls out AI.
WealthTech Roundup: Max Debuts Private Banking for Large RIAs
Max launches enterprise banking services while Zocks integrates with http://spr.ly/63320hKj60 and Opto expands its AI-powered research platform
spr.ly
February 6, 2026 at 5:00 PM
WealthStack Roundup
Max unveils enterprise banking services, Zocks and spr.ly/63320hKj60 develop artificial intelligence integration, Allworth rolls out RISR, and Opto makes a key hire and rolls out AI.
Max unveils enterprise banking services, Zocks and spr.ly/63320hKj60 develop artificial intelligence integration, Allworth rolls out RISR, and Opto makes a key hire and rolls out AI.
The WealthStack Podcast 🎙️
Pave's Wes Caywood unpacks what "real personaliziation" means.
Listen to the full podcast >> spr.ly/63323hKw8d
Pave's Wes Caywood unpacks what "real personaliziation" means.
Listen to the full podcast >> spr.ly/63323hKw8d
February 6, 2026 at 4:00 PM
The WealthStack Podcast 🎙️
Pave's Wes Caywood unpacks what "real personaliziation" means.
Listen to the full podcast >> spr.ly/63323hKw8d
Pave's Wes Caywood unpacks what "real personaliziation" means.
Listen to the full podcast >> spr.ly/63323hKw8d
CEO Haig Ariyan and his Arax Partners will be leaning into W-2 advisor team recruiting this year as he sees autonomy, economic incentives and wealthtech advancements making the RIA space ripe for breakaways.
$40B Arax to 'Turn Up Dial' On Recruiting Breakaway Advisor Teams
Arax CEO Haig Ariyan said the firm will be leaning into W-2 recruiting this year as he sees economic and technology benefits aligned for those advisors.
spr.ly
February 6, 2026 at 3:17 PM
CEO Haig Ariyan and his Arax Partners will be leaning into W-2 advisor team recruiting this year as he sees autonomy, economic incentives and wealthtech advancements making the RIA space ripe for breakaways.
Ejiro Ode Okuma of Smyrna, Ga., a former advisor with Equitable and Edward Jones, has agreed to pay more than $13 million to settle the charges.
Barred Broker Settles SEC Charges for $9.8M Fraud
Ejiro Ode Okuma of Smyrna, Ga., a former advisor with Equitable and Edward Jones, has agreed to pay more than $13 million to settle the charges.
spr.ly
February 5, 2026 at 11:00 PM
Ejiro Ode Okuma of Smyrna, Ga., a former advisor with Equitable and Edward Jones, has agreed to pay more than $13 million to settle the charges.
Andrew Jacobus had pleaded guilty to wire fraud and money laundering for a scheme that targeted Venezuelan Catholic clergy, among others.
Advisor Gets 20 Years for $94M Scheme Targeting Venezuelans
Andrew Jacobus had pleaded guilty to wire fraud and money laundering for a scheme that targeted Venezuelan Catholic clergy, among others.
spr.ly
February 5, 2026 at 10:00 PM
Andrew Jacobus had pleaded guilty to wire fraud and money laundering for a scheme that targeted Venezuelan Catholic clergy, among others.
“I built it because it is what I wanted at the time and could not find,” said Anna Joo Fee, Goodfin’s Harvard-educated founder and CEO.
Goodfin Launches Go, AI Agents for Private Markets
Y Combinator-backed Goodfin debuts AI platform with 30+ specialist agents for private market research and transactions
spr.ly
February 5, 2026 at 9:29 PM
“I built it because it is what I wanted at the time and could not find,” said Anna Joo Fee, Goodfin’s Harvard-educated founder and CEO.
The industry has experienced a net loss of advisors in 4 of the last 5 years.
Is This The Start of A Financial Advisor Retirement Boom?
The wealth management has experienced a net loss of advisors in 4 of the last 5 years.
spr.ly
February 5, 2026 at 9:00 PM
The industry has experienced a net loss of advisors in 4 of the last 5 years.
Courtney Holt has left Compound Planning after about a year to run compliance for Atlanta-based Aprio Wealth Management.
$5.5B RIA Aprio Adds Chief Compliance Officer From Compound
Courtney Holt has left Compound Planning after about a year to run compliance for Atlanta-based Aprio Wealth Management.
spr.ly
February 5, 2026 at 8:42 PM
Courtney Holt has left Compound Planning after about a year to run compliance for Atlanta-based Aprio Wealth Management.
The quiet crisis in wealth management isn’t a lack of AI; it’s too much AI, deployed in fragments.
Why AI Tools Fragment Advisor Workflows Instead of Help
Wealth managers face rising complexity as disconnected AI systems create more work rather than streamline advisory processes
spr.ly
February 5, 2026 at 8:00 PM
The quiet crisis in wealth management isn’t a lack of AI; it’s too much AI, deployed in fragments.
If someone in your area searches online for “financial advisor (your city),” you want to be the one they find. They aren’t randomly browsing.
Financial Advisors Must Master SEO for Local Search
Financial advisors need strong SEO strategies to rank higher when prospects search for local financial guidance and services
spr.ly
February 5, 2026 at 7:00 PM
If someone in your area searches online for “financial advisor (your city),” you want to be the one they find. They aren’t randomly browsing.
KKR & Co. has agreed to acquire sports and secondaries investor Arctos Partners in a $1.4 billion deal, in a major push into a booming industry.
KKR Buys Sports Investor Arctos Partners for $1.4B
KKR acquires Arctos Partners in $1.4 billion deal, gaining access to booming sports investing market with NBA, English Premier League and MLB stakes
spr.ly
February 5, 2026 at 6:00 PM
KKR & Co. has agreed to acquire sports and secondaries investor Arctos Partners in a $1.4 billion deal, in a major push into a booming industry.
Shirl Penney’s Dynasty Financial Partners has secured another minority capital raise from existing and new investors, as well as employees, clients and board members.
Dynasty Sells Minority Stake to Investor Consortium
Dynasty Financial Partners has secured another capital raise from existing and new investors, as well as employees, clients and board members.
spr.ly
February 5, 2026 at 5:20 PM
Shirl Penney’s Dynasty Financial Partners has secured another minority capital raise from existing and new investors, as well as employees, clients and board members.
Before co-founding Morton Brown Family Wealth with his partner Katie Brown, Dennis served as a platoon leader in the U.S. Army, including a deployment during the Iraq War.
Diamond Podcast: Dennis Morton's Battlefield Leadership Lessons
Former Army platoon leader Dennis Morton shares how military leadership principles shaped his wealth management firm and succession strategy
spr.ly
February 5, 2026 at 4:40 PM
Before co-founding Morton Brown Family Wealth with his partner Katie Brown, Dennis served as a platoon leader in the U.S. Army, including a deployment during the Iraq War.
Steward Partners, an employee-owned hybrid partnership of independent advisory firms with nearly $50 billion in client assets, has added a team of advisors from Raymond James & Associates, the firm’s employee broker/dealer channel.
Steward Partners Adds $716M Raymond James Team
Silcox & Avonda Wealth Management in Stuart, Fla., with $716 million in assets, has moved over from Raymond James’ employee channel.
spr.ly
February 5, 2026 at 3:01 PM
Steward Partners, an employee-owned hybrid partnership of independent advisory firms with nearly $50 billion in client assets, has added a team of advisors from Raymond James & Associates, the firm’s employee broker/dealer channel.
The seven models will rely on a combination of Bitwise’s own and third-party ETFs.
Bitwise Launches Seven Crypto Model Portfolios for RIAs
Bitwise debuts seven model portfolios focused on digital assets to help financial advisors allocate client funds across crypto ETFs
spr.ly
February 5, 2026 at 12:00 AM
The seven models will rely on a combination of Bitwise’s own and third-party ETFs.
Commonwealth nears the conclusion of a legal battle that stemmed from 2019 SEC charges related to mutual fund share class recommendations.
SEC, Commonwealth Reach Settlement in Share Class Lawsuit
Commonwealth nears the conclusion of a legal battle that stemmed from 2019 SEC charges related to mutual fund share class recommendations.
spr.ly
February 4, 2026 at 11:00 PM
Commonwealth nears the conclusion of a legal battle that stemmed from 2019 SEC charges related to mutual fund share class recommendations.