Practice Management

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People moves: XYPN president Vince Hockett to retire in 2027
INDEPENDENT BROKER DEALERS OCT 16, 2026
People moves: XYPN president Vince Hockett to retire in 2027

Also, SEI names LPL’s Kristie Edling-Day as CIO, TD Bank U.S. taps Hardeep Walia to lead wealth, and BMO adds an Illinois regional president

By Leo Almazora
Prenups for founders: How advisors can protect the business
PRACTICE MANAGEMENT OCT 16, 2026
Prenups for founders: How advisors can protect the business

Chip Wilson's no-prenup divorce puts business continuity in focus as advisors share how to raise postnups with founder clients

By Gregg Greenberg
Clients with advisors more likely to act on unchecked AI answers
PRACTICE MANAGEMENT OCT 16, 2026
Clients with advisors more likely to act on unchecked AI answers

Evergreen.ai study shows retirement planning and tax gaps persist, while Security Benefit finds AI now shapes advisor-client meetings

By Leo Almazora
Advanced certifications make for more referral-happy clients: IWI study
PRACTICE MANAGEMENT OCT 15, 2026
Advanced certifications make for more referral-happy clients: IWI study

Clients who know their advisor’s designations report higher confidence and refer more often, according to the Investments and Wealth Institute.

By Leo Almazora
MassMutual launches securities-backed credit line for advisor clients
FINTECH OCT 15, 2026
MassMutual launches securities-backed credit line for advisor clients

The Supernova-powered lending line follows a Flourish Cash rollout as the insurer pushes private-bank-style tools to its 6,000-plus advisors

By Leo Almazora
Snowbird clients reshape how RIAs serve multi-state families
PRACTICE MANAGEMENT OCT 15, 2026
Snowbird clients reshape how RIAs serve multi-state families

Advisors explain why in-person client meetings still anchor service as wealthy families split their year across multiple states

By Gregg Greenberg
US ultra wealthy gave $107bn in 2025 as philanthropy reshapes wealth planning
PRACTICE MANAGEMENT OCT 15, 2026
US ultra wealthy gave $107bn in 2025 as philanthropy reshapes wealth planning

A new Altrata report shows the country’s UHNW donations are up 43 per cent since 2022, increasing their share of global giving.

By Steve Randall
Hybrid investors are a retention risk advisors can't afford to ignore
PRACTICE MANAGEMENT OCT 15, 2026
Hybrid investors are a retention risk advisors can't afford to ignore

New Coalition Greenwich data finds nearly a quarter of affluent clients split assets between advisors and self-directed platforms

By Steve Randall
Trump Accounts auto-enrollment leaves work to do, says Baird expert
RETIREMENT PLANNING OCT 15, 2026
Trump Accounts auto-enrollment leaves work to do, says Baird expert

Auto-enrollment has landed for 60 million children, but Baird planning director says key questions on rollovers and Roth conversions remain open.

By Steve Randall
351 exchanges still viable after IRS ruling, says Baird planning leader
PRACTICE MANAGEMENT OCT 14, 2026
351 exchanges still viable after IRS ruling, says Baird planning leader

Advisors fielding client questions on the tax deferral strategy can't afford to skip the fine print, Baird's Tim Steffen warns.

By Leo Almazora
High earners living paycheck to paycheck test advisors' playbook
PRACTICE MANAGEMENT OCT 14, 2026
High earners living paycheck to paycheck test advisors' playbook

With more than a third of $300,000-plus earners stretched thin, advisors explain how they rebalance cash flow, liquidity and retirement savings

By Gregg Greenberg
Retirement advisors have a major small business opportunity
RETIREMENT PLANNING OCT 14, 2026
Retirement advisors have a major small business opportunity

State mandates and plan complexity are opening doors for financial advisors in the 401 market.

By Steve Randall
2027 Social Security COLA puts retirement income plans under review
PRACTICE MANAGEMENT OCT 09, 2026
2027 Social Security COLA puts retirement income plans under review

Financial advisors say the real test is whether after-tax income and portfolio withdrawals can keep pace with clients’ rising costs

By Gregg Greenberg
Pre-sale financial planning is where advisors prove their value
PRACTICE MANAGEMENT OCT 09, 2026
Pre-sale financial planning is where advisors prove their value

Advisors who engage business owners years before a liquidity event can shift tax and estate outcomes by millions of dollars

By Gregg Greenberg
Succession planning must include a path to ownership, says Quad-A CEO
PRACTICE MANAGEMENT OCT 09, 2026
Succession planning must include a path to ownership, says Quad-A CEO

Sheena Gray says succession is not just about who inherits clients - it’s about who gets to own the business

By Steve Randall
At Women Advisor Summit, Summit Place’s Liz Miller will offer key steps to advisor success
PRACTICE MANAGEMENT OCT 08, 2026
At Women Advisor Summit, Summit Place’s Liz Miller will offer key steps to advisor success

Summit Place Financial Advisors President and Founder Liz Miller will participate in a panel on building a successful firm at the Women Advisor Summit. .

By James Rogers
AI account opening is Jump's next push beyond advisor notetaking
PRACTICE MANAGEMENT OCT 08, 2026
AI account opening is Jump's next push beyond advisor notetaking

CEO Parker Ence says live Schwab and Fidelity onboarding signals a shift toward agentic AI workflows compliance teams can govern

By Gregg Greenberg
Most investors lack advanced risk knowledge, FINRA finds
PRACTICE MANAGEMENT OCT 08, 2026
Most investors lack advanced risk knowledge, FINRA finds

New research from FINRA and Stanford links risk literacy gaps to fraud vulnerability and weaker retirement outcomes among US investors.

By Steve Randall
US households hold record wealth, but AI poses a $27 trillion risk
PRACTICE MANAGEMENT OCT 08, 2026
US households hold record wealth, but AI poses a $27 trillion risk

American household wealth has never looked stronger - and that may be the problem.

By Steve Randall
Dolly Parton estate drama shows limits of even careful planning
PRACTICE MANAGEMENT OCT 07, 2026
Dolly Parton estate drama shows limits of even careful planning

Tulsa estate planning attorney and New Hampshire-based trust expert unpack what dispute with the country music icon's nephew teaches advisors about trusts, heirs and family businesses.

By Leo Almazora