SEC proposes custody relief for RIAs with discretionary trading authority
The 760-page proposal would drop written-agreement and outside-exam requirements for RIAs that meet three conditions.
Published Oct 2, 3:37 PM ET
Prudential survey: only 14% of retirees and pre-retirees feel at ease spending savings
Financial planning improved spending confidence, the study found, while 61% of respondents with more than $500,000 in investable assets reported discomfort about discretionary spending.
SIFMA panel says advisers can build an audience without becoming finfluencers
Advisers from Merrill Lynch, RBC, Oppenheimer and Edward Jones said expertise alone no longer draws clients, but viral content is the wrong goal.
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Trilogy Financial launches an affiliated tax and consulting business
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Concurrent-Spire deal keeps 30 advisor brands, adds equity after a year
The $5.4 billion acquisition leaves Spire's teams independent under their own names; same-day moves from UBS and Cambridge landed at independent platforms.
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Mar 31Onur Erzan — AllianceBernstein L.P. → AllianceBernstein L.P.
Mar 31Onur Erzan — AllianceBernstein → AllianceBernstein
Mar 31Onur Erzan
Mar 30Seth Bernstein — AllianceBernstein L.P. → AllianceBernstein L.P.
Dec 31Zar Toolan — to Certified Financial Planner Board of Standards Inc.
Dec 31Drew McMorrow — to Certified Financial Planner Board of Standards Inc.
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Ascensus launches a participant-referral workflow for plan advisers
The platform links 401(k) savers with the adviser serving their plan across a book of more than 16 million participants and $1.3 trillion in administered assets.
FPA and Snappy Kraken rebuild PlannerSearch around a 12-question client quiz
The revamped FPA directory sorts prospects into four client mindsets based on financial well-being and readiness to engage.
Feathery co-founder pitches firm-wide AI workflow redesign to small RIAs
Zack Khan says the choice is between single-user assistants and rebuilding workflows across a firm; the sponsored episode offers no client results.
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Senate passes the Social Security Claiming Age Clarity Act, sending it to Trump
The measure would change how the SSA labels claiming ages; the 2026 benefit maximums are $2,969 a month at 62 and $5,181 at 70.
Ed Slott: the QCD cap survives an RMD and a Roth conversion
The 2026 limit is $111,000, and Slott tells a 10-year-rule inherited-IRA beneficiary to withdraw above the RMD before the final year.
SEC weighs three proposals to widen retail access to private markets
The Sept. 30 open-meeting agenda covers performance fees for advisers, closed-end fund repurchase offers, and accredited-investor credentials.
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