People in the U.S. are built differently, when it comes to their relationship with wealth management, anyway.
Welcome to another Advisor Tech Talk where we’re going to stay firmly in the realm of wealth management this week, not only in a nice run of news from the wealthtech world, but also in our introduction, where we’re going to talk about a recent global study that uncovered the world’s trust issues with the wealth management industry—or apparent lack thereof.
In fact, according to the recent Wealth Insights 2025 report from Swiss wealth and banking provider Avaloq, 79% of global wealth management clients in a survey of more than 3,800 believe that advisors keep their best interests at heart, which is a good thing, because in the same survey, 42% of the respondents who had switched wealth managers named “lack of trust” as the primary reason.
In the United States, 60% of those advisor-switching respondents cited their lack of trust, suggesting that North Americans may be extra-sensitive to poor advisor behavior. The good news being that 81% of U.S. respondents overall believe their advisor is acting in their best interest.
Globally speaking, wealth managers are not seen as fonts of financial knowledge. Just 37% of global respondents saw their financial advisors as their primary source of investment information, versus 50% of the U.S. respondents.
Perhaps Americans’ memories of the global financial crisis are fading more quickly than the rest of the world. Americans in the survey tended to have greater confidence in traditional financial institutions than the global response.
When Avaloq asked more than 450 wealth managers about their feelings on wealthtech, respondents from the U.S. were more likely than the global respondents to report that the systems they were using were designed according to their needs (63% versus 47%), to say that their systems were well-integrated (60% versus 46%), and to view AI as essential to the future of their work (95% versus 85%).
However, AI comes with trust issues of its own, according to the survey. This year, a greater proportion of global wealth managers, 30%, said that their clients would not trust AI for financial planning, up from 21% in 2024. At the same time, when Avaloq asked the clients, it found that investor skepticism regarding AI’s role in wealth management was declining. Fewer investors objected to AI playing roles in tasks like providing investment advice, analyzing portfolio performance data and making product recommendations this year than in 2024.
However, without reporting a specific result, Avaloq said that U.S. investors were significantly more skeptical regarding artificial intelligence than their global peers, and were, and were more likely to oppose the use of AI in wealth management than any other region.
At first blush, we believe that’s a very mixed bag of results regarding reliability in wealth management, wealthtech and artificial intelligence that, if nothing else, at least hints that the feelings of U.S. clients and advisors are exceptions to the global rule, but that there also remains a strong foundation of trust in traditional wealth management that is very slow to erode, particularly in the U.S.
Let’s get to your headlines.
Are you and your firm AI-Ready? Join AICFP today and receive education certification for financial professionals and more – click here for more info!
Alles Technology
Alles Technology, a leading boutique IT and cybersecurity managed services provider, announced today the launch of Risk Insights Assessment, a comprehensive cybersecurity assessment service purpose-built for Registered Investment Advisors (RIAs).
Designed to integrate directly with SEC compliance requirements, the service benchmarks firms against industry standards across governance, access controls, incident response, vulnerability management, data protection, training, and vendor oversight. It combines the firm’s Cybersecurity Assessment Checklist with a battery of advanced tests including: Detailed Microsoft 365 security posture analysis; Entra, Intune, Exchange, Azure, Compliance Center, and Defender configuration reviews; Dark Web scanning and credential exposure checks; Internal penetration testing, firewall effectiveness, and external port scans; EDR, password manager, and patch effectiveness reviews; and Cybersecurity policy analysis and SWAT recommendations
Alto IRA
Alto, the self-directed IRA platform for private market and alternative assets, today announced the appointment of Stacy Mauro as Vice President of Engineering. Mauro will lead Alto’s efforts to continue scaling its technology platform amid fast-growing investor demand for access to private markets and alternative investments.
Specifically, Mauro will lead Alto’s engineering organization, including software development, platform engineering, cloud infrastructure and quality assurance. Her leadership will evolve Alto’s technical strategy and platform architecture to ensure security and compliance are embedded at every layer. Additionally, she will support enterprise integrations across alternative asset platforms, RIAs and fund managers.
Mauro is a seasoned engineering executive with experience spanning startups and global fintech leaders. She most recently served as Vice President of Engineering at Atticus, where she scaled the organization from Series A to Series C. Prior to that, she held senior engineering leadership roles at PayPal and Honey, where she guided Honey’s integration following its $4 billion acquisition. She began her career at Illuminate Education, building engineering and data teams during a period of rapid expansion.
Arch
Arch, the digital way to track all private market investments, today announced it has raised $52 million in Series B funding. The round was led by Oak HC/FT, with participation from Menlo Ventures, Craft Ventures, Quiet Capital and others. The funding will support Arch’s ongoing expansion and development, with a particular focus on meeting the needs of institutional investors, large private wealth teams and established family offices.
In an era of rapid technological advancement, private markets have emerged as the most dynamic arena in global finance. The global alternatives market is projected to reach $29.2 trillion by 2029, up from $16.8 trillion in 2023. Despite this growth and increasing investor interest, private market infrastructure is plagued by antiquated processes and massive information asymmetry. Investors must navigate hundreds of portals and thousands of emails, with little visibility or automation. In private markets, where illiquidity is inherent, the value of leverage and efficient cash management is even more pronounced. As regulatory pressure and client expectations rise, the need for real-time data, streamlined workflows and robust reporting capabilities has never been more critical.
Arch is the AI-powered operating system purpose-built to eliminate the operational friction of private investing. It automatically collects and structures financial data from documents, including K-1s and statements, from various portals and emails into one secure place. New features like Arch Pay automate capital calls, making nearly every stage of alternative investing more seamless. By simplifying document collection and data extraction, Arch reduces manual administrative tasks and enhances portfolio visibility. For allocators managing complex alts exposure, Arch serves as a single source of truth, giving investors the clarity and confidence to unlock the full value of their alts business.
Broadridge Financial Solutions
Global Fintech leader Broadridge Financial Solutions, Inc. (NYSE: BR) is making strategic investments to enhance its advisor marketing solutions to more effectively empower wealth firms and their advisors to build their book of business. Launching improved website creation tools with Wix, and new video marketing capabilities will provide advisors with the critical digital front door experience needed to attract, engage, and retain today’s investors.
Investor behavior is evolving, with rising demand for personalized advice, mobile-friendly platforms, AI-driven insights, and video content. At the same time, trillions of dollars are shifting to younger, more digitally native investors during the great wealth transfer, making a strong digital presence critical to standing out and reaching the next generation of investors. By combining Broadridge’s proven wealth tech solutions with website technology from Wix.com Ltd. (NASDAQ: WIX), a leading global platform for creating, managing, and growing a complete digital presence, advisors will be equipped with the modern tools they need to serve the evolving needs of investors.
A recent Broadridge study found that 62% of advisors find their website ineffective at generating leads, and only 4 in 10 advisors are embracing personalization to share content targeted to client interests and life events. To help wealth firms adapt to the changing needs and expectations of investors, Broadridge is building the future of advisor marketing.
Carta
Carta, the software platform purpose-built for private capital, and Morgan Stanley Wealth Management, a global leader in financial advisory services, today announced an expanded strategic relationship designed to transform the wealth journey for private company founders, executives, and employees preparing for liquidity events and IPOs. Through this collaboration, Morgan Stanley Wealth Management’s suite of services will be integrated into the Carta platform, offering users streamlined, trusted access to personalized financial guidance, education, and tailored wealth planning resources as their companies progress from startup to public company and beyond.
This expanded partnership deepens the existing Morgan Stanley at Work and Carta collaboration, unlocking a unified experience for Carta users and for companies at every growth stage. In October 2024, the companies announced Morgan Stanley at Work as Carta’s exclusive U.S. public equity management and broader workplace benefits platform for late-stage private companies going public. Since then, the collaboration has already seen a strong interest and adoption from customers, reflecting the mounting IPO market.
The Morgan Stanley Wealth Management collaboration is the latest announcement for Carta’s IPO Advisory product suite. Last week, the company announced the New York Stock Exchange as its preferred partner for IPO listings. Earlier this year, Odyssey Trust had been selected as Carta’s preferred provider for public transfer agent and trust services, while Morgan Stanley at Work became Carta’s exclusive U.S. public equity management and broader workplace benefits platform. Together these companies provide unique and customized guidance for companies, founders, and employees at every step of the private to public journey.
Compound Planning
Compound Planning, a leading digital family office reimagining wealth management for the next generation, today announced the launch of Activity Monitor – the centerpiece of the company’s AI-powered operating system for financial advisors.
Available exclusively to Compound advisors, Activity Monitor delivers AI-powered analysis of an advisor’s entire book of business, serving as a real-time command center that provides actionable intelligence, centralized data, and automated workflows.
Activity Monitor uses artificial intelligence to empower advisors to deliver proactive, holistic wealth management services tailored to the evolving needs of today’s high-net-worth clients. More specifically, Activity Monitor is the newest feature Compound has added to AdvisorHQ, the AI-powered operating system that is available exclusively to Compound Planning advisors.
Dispatch
Dispatch, the first wealthtech solution to enable effortless client data management for registered investment advisors (RIAs), today announced that Chris Cook has joined the company as head of solutions and security engineering. Cook is a veteran leader in RIA technology, data strategy and cybersecurity, with more than a decade of experience helping financial advisory firms leverage technology to scale and serve clients.
At Dispatch, Cook will help RIAs move beyond data storage to true data activation. He will lead initiatives in system integration, real-time data orchestration, AI applications and information security, ensuring firms can surface and act on the right information at the right time. By bridging gaps between core systems, automating workflows and strengthening security, Cook will help Dispatch clients operate more efficiently, scale with confidence and deliver faster, more personalized experiences.
Cook spent nearly a decade transforming one of the industry’s largest RIAs, Mariner, into a digital-first powerhouse, leading cloud migrations, mobile-first initiatives and enterprise security frameworks. In early 2025, he founded Obsydian, a consultancy that helped firms of all sizes activate their data, streamline operations and adopt emerging technologies such as AI and orchestration layers. Drawing on his experience scaling technology organizations from lean teams to departments of more than 75 professionals, Cook brings the expertise to bridge systems, automate workflows and deliver real-time, actionable insights.
FLX Networks
FLX Networks, the innovative network revolutionizing how asset and wealth management firms connect, today announced it has added Carta to the FLX Perks program, giving FLX Members access to its world-class Fund Administration solutions specifically built for the office of the Fund CFO. The addition of Carta to the FLX Perks program broadens the resources available to FLX Members, offering streamlined access to cutting-edge operational support in alternative investment administration. Carta’s platform is designed to reduce back-office complexity, enhance transparency, and enable investment firms to focus on growth and delivering strong client outcomes.
Through the FLX Solutions Exchange, Members can now discover and utilize Carta’s Fund Administration solutions while also benefiting from exclusive discounts via the FLX Perks category. The collaboration reflects FLX’s commitment to continually enhancing the Membership experience by bringing forward trusted, proven, and innovative partners.
iCapital
Marathon Asset Management (“Marathon”), a leading global asset manager specializing in private and public credit, today announced that it has broadened access to its long-established asset-based lending (“ABL”) strategy on iCapital Marketplace.
This expanded presence on iCapital provides the wealth management community with another access point into Marathon’s ABL program. Built over two decades, the program focuses on investments secured by hard assets such as airplanes, railcars, commercial and residential real estate, healthcare, and other types of mission-critical property, plant and equipment.
K1x
K1x, the fintech company behind the industry-leading 990 Tracker ®, today announced a strategic partnership with Labyrinth Inc., the nation’s leader in nonprofit compliance services with more than 35 years of experience supporting mission-driven organizations.
The partnership expands the capabilities of K1x’s 990 Tracker®, the industry-standard platform for IRS-certified Form 990 e-filings. Through this collaboration, nonprofits can now fundraise confidently knowing they are in compliance with charitable registration, annual report, fundraising disclosure, and registered agent requirements directly within 990 Tracker®. By uniting federal and state compliance in one seamless workflow, the integration eliminates redundant manual processes and reduces the need for multiple vendors.
Together, K1x and Labyrinth bring unmatched expertise and scale to the nonprofit sector. Labyrinth has guided thousands of organizations through regulatory requirements for decades, serving more than 60% of nonprofits registered to raise funds nationwide. K1x, with its 990 Tracker ® software, streamlines workflows including data collection, analysis, reporting, integration, and IRS-approved e-filing for tax-exempt organizations, including universities, endowments, health systems, and the accounting firms that serve them. By combining forces, the two organizations are delivering a comprehensive solution designed to achieve compliance and help nonprofits operate more efficiently.
Marstone
Marstone, Inc., a leading digital investing and financial wellness platform, has announced its integration with Q2’s Digital Banking Platform through the Q2 Partner Accelerator Program.
Q2 Holdings, Inc. (NYSE: QTWO) is a leading provider of digital transformation solutions for banking and lending. As part of the Q2 Partner Accelerator Program, financial institutions will now be able to offer Marstone’s investment platform via the Q2 Digital Banking Platform, enabling consumers to invest within a unified experience.
With low minimum investment and deployment timeline measured in days instead of months, Marstone empowers institutions to meet rising demand from younger investors seeking consolidated, all-in-one financial experiences. Consumers can now complete an investment risk profiling process, receive portfolio recommendations, open, fund and invest all online through their digital banking app. Through integrations with custodians and core systems, Marstone streamlines onboarding, supports multi-lingual workflows, and enables consumers to open and fund accounts in minutes.
Masttro
Masttro, the leading wealth tech provider to wealth owners and the industries that serve them, today announced the appointment of Dan Williams as Global Head of Marketing.
Williams brings extensive experience crafting high performing marketing strategies and leading go-to-market initiatives in the Fintech and SaaS spaces. Most recently, he served as Global Head of Digital Marketing and Demand Generation at FactSet, where he led a performance-focused team driving record lead and revenue growth across a 5-year period.
Previously across a 15-year career at leading marketing technology and advertising firms, Williams oversaw campaign and product development work for firms such as JP Morgan Chase, Thomson Reuters and Verizon Wireless.
MCO
MCO (MyComplianceOffice), a leading provider of compliance technology, continues to deliver on its commitment to helping financial services firms and banks strengthen governance, reduce operational risk and accelerate decision making. The MyComplianceOffice platform has long supported firms with a single system and data set that simplifies compliance management, improves oversight and enables quick response to issues.
The latest update to the MyComplianceOffice platform further enhances MCO’s ability to support compliance programs across key areas including Employee Personal Trading, Communications Surveillance, Gifts & Entertainment, Political Contributions, Outside Business Activities, Connected Persons, Licensing & Registrations, Deal Review, Compliance Obligation Management and Know Your Third Party —delivering greater visibility, stronger controls and faster resolution.
Moody’s
Moody’s today announced Agentic Solutions, a groundbreaking addition to its suite of AI-powered offerings designed to transform how organizations make decisions in complex, high-stakes environments. The new solutions empower organizations to act with greater speed, precision, and confidence than ever before, reshaping how risk is decoded, opportunities are identified, and decisions are made.
Built on Moody’s trusted data estate covering more than 590 million global entities, Agentic Solutions coordinates AI agents that automate and optimize knowledge-intensive workflows across finance, risk, and strategy. Working together, the agents deliver specific enhancements to decision-makers.
NFSG
NFSG Corporation today announced the expanded availability of its Exclusive, Proprietary Wealth Management Program to support its growing network of independent financial advisors nationwide. The program features customizable strategies tailored to individual client needs, enabling advisors to deliver thoughtfully managed portfolios backed by sophisticated technology and experienced in-house portfolio management. This program is only available to clients of NFSG.
The NFSG Wealth Management Program offers advisors and their clients a truly comprehensive investment approach. Unlike many firms that rely on funds, our strategy focuses on selecting individual companies with the strongest potential for long-term success.
We combine advanced proprietary technology — analyzing thousands of data points every night — with the expertise of our in-house portfolio manager, who makes all investment decisions. This blend of technology and human insight allows us to maintain a carefully curated universe of securities, emphasizing strong fundamentals, technical analysis, and sustainable business models.
Orion
Orion, the premier provider of wealthtech solutions for financial advisors and the enterprise firms that serve them, today announced three major innovations at Future Proof Festival – headlined by the debut of AI assistants designed to put real-time data and insights directly at advisors’ fingertips.
The company unveiled: Orion’s Report Assistant and Query Studio AI assistants – giving advisors and operations teams instant, natural-language access to complex data and report creation, Orion Summit Experience – a concierge-level digital platform tailored for firms serving ultra-wealthy investors or those looking to deliver a truly holistic representation of their client services, and Orion Strategic Insights – a real-time growth intelligence experience for C-suite leaders.
Together, these new tools reflect Orion’s commitment to delivering a unified, scalable, and deeply personalized wealthtech ecosystem built to empower fast-growing advisors with smarter tools, actionable data, and AI-driven insights.
Orion
Orion, a premier provider of transformative wealthtech solutions powering the growth of financial advisors and the enterprise firms that serve them, today announced the addition of SpiderRock Advisors’ option overlay separately managed accounts (SMAs) to its Wealth Advisory platform, expanding the breadth of strategies available to advisors and their clients.
SpiderRock Advisors, a part of BlackRock, provides customized option overlay strategies to investors, combining world-class technology with comprehensive derivatives expertise.
SpiderRock Advisors provides advisors institutional-quality trading, advanced risk management, and a wide range of strategies for concentrated stock, equity portfolios, and fixed income or cash positions.
SMArtX Advisory Solutions
SMArtX Advisory Solutions (“SMArtX”), a leading innovator in managed accounts technology, has announced the addition of 7 new strategies from four leading asset management firms to its Manager Marketplace. SMArtX’s continuously growing platform now offers 1,566 strategies from 322 distinguished asset management firms.
Newcomer RSW Investments added a market duration strategy. J.P. Morgan Asset Management, KraneShares, and ZEGA Investments also expanded their current offerings to respectively include equity income, global strategic allocation, and ETF income strategies.
Snappy Kraken
Snappy Kraken, the martech innovator dedicated to powering smarter, more efficient financial advisor marketing initiatives, today announced the release of its AUM Pipeline Dashboard to give firms unprecedented visibility into growth and ROI on marketing activities across the enterprise. By tracking potential AUM as it moves across pipeline stages and advisors, the dashboard enables firms to forecast business outcomes with greater accuracy and identify which marketing activities are driving results. This new capability turns marketing data into business intelligence, helping enterprises scale what works and predict future growth. Snappy Kraken is now the only marketing automation platform for advisors that reports impact in terms of enterprise-wide AUM growth.
The dashboard, available within Snappy Kraken’s Enterprise Hub, gives broker-dealers (BDs), wealth management firms, large registered investment advisors (RIAs) and multi-advisor organizations clear visibility into how marketing efforts translate into pipeline growth and new assets. For the first time, enterprises can directly connect AUM growth to marketing initiatives in a single, unified view. The new dashboard gives C-suite leaders firm-wide forecasts of business outcomes, while equipping advisors with performance data that validates their efforts and drives adoption. By revealing the total opportunity across the pipeline – including investable assets, forecasted client AUM and marketing’s direct impact to existing client AUM – the dashboard turns marketing from anecdotal to accountable.
To support full advisor implementation, Snappy Kraken provides a structured success plan that includes pilot programs, phased rollouts, advisor benchmarking, case study documentation and ongoing utilization reporting—enabling firms to measure both outcomes and adoption. As part of this phased rollout, Snappy Kraken will begin enabling the dashboard for select firms. In mid-October, access will extend to individual advisors through the Marketing Hub, giving them personalized visibility into their own pipeline growth.
TIFIN Give
TIFIN Give, the first donor-advised fund (DAF) platform designed for growth, today announced the launch of Tax Intelligence. This new capability helps financial advisors identify tax-efficient security contributions and use DAFs to drive better wealth outcomes for their clients.
This innovation marks a major step in enabling advisors with real-time answers to strategic tax planning questions. While tax loss harvesting is routine, tax gain harvesting remains underutilized by the broader investor population despite being well suited for DAFs. By realizing capital gains intentionally, investors can reset cost basis, reduce concentrated positions, or enhance their overall tax strategy while also giving charitably. This is a particularly effective strategy especially during years where a client may have liquidity events.
With Tax Intelligence, advisors can, in-real-time, proactively address questions such as “Who stands to benefit most from opening a DAF?” while also helping their clients answer questions such as “”Which part of my portfolio should I donate to a DAF?”. The platform analyzes client holdings and generates tax-efficient security contribution proposals. These recommendations account for variables like portfolio deviation and restricted security lists, giving advisors a sophisticated, personalized way to engage high and ultra-high net worth families, especially as advisors discuss these topics towards the year end.
Tilt
Tilt, the AI-powered direct indexing platform, has raised a $7.1 million Seed round led by Portage and Lerer Hippeau, with participation from Golden Ventures, Real Ventures, Cumberland Investments, and FJ Labs. The company will officially launch the platform behind a waitlist on September 22nd at Portage’s Confluence event.
Tilt is pioneering a new approach to wealth management by enabling advisors, TAMPs, and RIAs to deliver scalable, zero-minimum indices with real-time tax optimization, starting at 3 basis points. With Tilt’s platform, anyone can build an index for anything in minutes through an AI-driven thematic research process—democratizing access to institutional-grade indexing and personalization.
At the core of Tilt’s technology is an embedding engine that continuously ingests, parses and scores an opinionated set of documents, from SEC filings to news articles and social media, surfacing both consensus and emerging themes in the process. This always-on processing allows Tilt to power new types of structured products, rebalance indices at higher frequencies, and unlock the long tail of personalization that advisors and investors increasingly demand.
TradingBlock
Online broker TradingBlock today announced that veteran technology executive Dave Gustafson has joined the company as Director of Networking, bringing more than 25 years of experience designing and leading critical infrastructure for trading firms, data centers and financial institutions.
Gustafson is responsible for designing, building and overseeing TradingBlock’s network infrastructure, a critical role as network performance directly impacts trade execution speed, reliability and security.
Gustafson has held leadership roles at Jump Trading, Chopper Trading, TransMarket Group and Calyon Financial. Throughout his career, he has architected and deployed global networks, pioneered low-latency trading connectivity and advanced enterprise IT and security operations across North America, Europe and Asia. In his work at Crusoe Energy, he continued to develop hybrid WAN networks as well as a GPU cloud infrastructure. Most recently, he founded DCG Technology Consulting, which assisted firms with low-latency exchange infrastructure and wireless deployments.
