THE BIG PICTURE
Projected returns open up while FINRA has restricted only two firms
InvestmentNews reported that brokers will soon share target-return figures under SEC-approved changes, while the final text omits a reasonable-basis requirement and only two firms are restricted under FINRA's Rule 4111.
Sterling Park, Chief Analyst
MARKETS IN 5
Stocks edge up as Fed holds and software sells off
STOCKS
S&P 500 rises 0.3% to 7,743.98
THE FED
Fed holds rates steady in 10-2 vote
RATES
Ten-year Treasury yield rises to 5.05%
EARNINGS
ServiceNow and Fortinet fall sharply after results
COMMODITIES
Brent slips below $115 as gold closes lower
Miles Ashford, Markets Correspondent · Read it in five minutes
FROM THE NEWSROOM
SurgeONE.ai adds communications archiving and off-channel monitoring to Avery Actions
SurgeONE.ai launched Avery Actions, an AI platform update covering communications archiving, off-channel monitoring and AI governance, according to Wealth Solutions Report and the company's release.
Nora Kessler, Practice & Technology Correspondent
Jump adds advisor workflow skills to its Claude connector
Salt Lake City-based Jump has expanded its Anthropic collaboration with Claude for Financial Advisors, adding skills for meeting recaps, client commitments and follow-up tasks.
Grant Whitmore, Moves Correspondent
Private equity share of RIA deals eases as overall volume holds near record
Echelon's third-quarter report shows PE-backed acquirers announced 73.6% of 125 RIA deals, down from a second-quarter high, while Echelon projects a record year.
Vivian Cole, Deals Correspondent
Georgia team with $1.1 billion in client assets leaves Raymond James for independence
The Stribling~Whalen Financial Group, led by Brian Whalen, has launched an independent SEC-registered RIA and is using Fidelity Investments as its custodian, according to its announcement.
Grant Whitmore, Moves Correspondent
THE WIRE
INVESTMENTNEWS
Schwab IMPACT 2026 full conference coverage
MOVES · INVESTMENTNEWS
RIA moves: CAPTRUST adds $1.1B Pacific Northwest firm
DEALS · WEALTHMANAGEMENT.COM
Captrust Acquires $1.1B Pacific Northwest RIA
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WINTHROP & CO.
FORGIVABLE LOANS
Negotiating a forgivable loan: the terms that actually move
Forgiveness cadence, carve-outs, production thresholds and jurisdiction, in the order to ask for them.
READ THE ANALYSIS
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DEALS · FINANCIAL PLANNING
A guide to getting AI buy-in as RIAs look to scale
MOVES · INVESTMENTNEWS
Advisor moves: Raymond James lands $460M father-son team from Wells Fargo
HEAT INDEX · 24 HOURS
1. Schwab 7 stories
2. LPL Financial 5 stories
3. CAPTRUST 2 stories
4. UBS 1 story
5. Wells Fargo 1 story