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Cybersecurity incidents impacting the wealth management industry continue to accelerate at an alarming pace. More than 100 financial services firms reported data breaches during just the first four months of 2026, already outpacing last year’s trajectory.

State Advertising Rules Move Closer to the SEC Marketing Rule

As of June 3, 2026, the SEC’s amended Regulation S-P requirements are officially in effect for investment advisers with less than $1.5 billion in assets under management.

Artificial intelligence is no longer a future consideration for advisory firms. It is already shaping how firms communicate, analyze information, streamline operations, and serve clients. As adoption accelerates, however, so do the questions surrounding oversight, data security, accuracy, and regulatory responsibility.

If it feels as though your compliance inbox has been reminding you about Regulation S-P for months, that is likely because it has. Since the SEC adopted its July 2023 amendments, firms have been inundated with alerts, commentary, and countdowns tied to one of the most significant updates to privacy and safeguarding requirements in more than two decades.

Why Investment Advisers Still Matter in an AI-Driven World It is difficult to get through a day without encountering some form of artificial intelligence. It shows up in the search tools on our phones, in the apps that track our health data, in the prompts built into everyday software, and on an increasing number of platforms people rely on to gather information and make decisions. AI is not a passing trend.

What RIAs may still need to keep on the compliance calendar. There is a difference between a rule being vacated and a risk disappearing. In compliance, those two things are rarely the same. And for firms making rollover and IRA-to-IRA transfer recommendations, that distinction matters right now.

How RIAs Can Harness AI for Smarter, Compliant Marketing Artificial intelligence has found its way into the RIA marketing department. Tasks that once required a strategist, a copywriter, and significant time can now be drafted in seconds with a well constructed prompt. Blog articles, LinkedIn posts, webinar outlines, FAQs, client emails. The efficiency is undeniable.

Best Practices for Responsible Adoption and Data Protection AI tools are quickly becoming part of day-to-day operations in advisory firms. They help capture meeting notes, draft marketing content, support research, and reduce friction in routine workflows. Used well, they can meaningfully improve consistency and efficiency. That said, approving an AI tool is not just a technology decision. It is a vendor decision.

The Growing Risk & Regulatory Spotlight Held-away account platforms have become a familiar part of the modern advisory landscape. Tools such as Pontera are often positioned as a practical solution for advisers who want to provide more comprehensive guidance around retirement assets without requiring clients to move accounts to an advisory custodian.

Why Disclosures Matter When an Individual Is Holding Themselves Out as an IAR LinkedIn has evolved into a primary professional identification tool for investment advisers and investment adviser representatives. It is also one of the first places regulators, examiners, and plaintiffs’ attorneys review when assessing how a financial professional presents advisory services to the public.

Privacy Starts with Cybersecurity Data Privacy Week is observed each year during the final week of January, typically concluding on January 28. It traces its origins to Data Protection Day, which commemorates the Council of Europe’s 1981 Convention 108, the first international treaty focused on data protection.

Quietly Reveals The Strength of Your Firm Each year, as annual amendment season approaches, Form ADV Part 2A inevitably returns to the center of the review process. It is one of the most underestimated documents in an advisory firm. It is not flashy. It is not designed to persuade. And yet it quietly shapes the deepest kind of trust, the kind that forms when a client reads a document and thinks, almost instinctively, “These people are clear. They are honest. They are intentio