Description

A focused course, tailored for you

Building Modern Wealth Management AI Strategy for Independent Advisory Practice (Advisor Productivity + Client Insight + Compliance + Tech Stack + Growth)

Build the modern wealth management AI strategy for independent advisory in 10 weeks. Advisor productivity + client insight + compliance + tech stack + growth.

Independent wealth advisory practice competes with mega-RIAs and the captive private banks on AI-augmented client experience. AI for advisor productivity, real-time client insight, compliance under SEC + state + EU rules, tech-stack modernisation, and AUM-growth strategy under wealth-transfer dynamics all need to land at the principal level. Advisors who build the modern practice take the next-generation client base. Here is the 10-week build.

$199 one-time

Tailored to your situation. Access within 24 hours. 30-day money-back.

Includes a hand-built implementation playbook delivered alongside course access, generated for your specific situation.

Why this course

Independent wealth advisory practices (solo RIAs, boutique multi-family offices, mid-cap RIAs, fee-only advisors, fiduciary-only practices, hybrid practices) now compete with mega-RIAs (Edelman Financial Engines, Mariner Wealth Advisors, Mercer Advisors, Captrust, Hightower, Wealth Enhancement, Cerity, Mission Wealth) and captive private banks on AI-augmented client experience.

AI for advisor productivity (call preparation, meeting summary, follow-up drafting, proposal drafting, planning-discussion preparation), real-time client insight (life-event detection, market-event triggers, tax-loss harvesting opportunities, gift-planning triggers, business-succession triggers), compliance under SEC Regulation Best Interest, DOL fiduciary, FINRA Rule 2111, state insurance DOI for affiliated products, EU AIFMD where European clients (where applicable), EU AI Act where European clients, tech-stack modernisation (CRM, planning, portfolio management, client portal, communications), AUM-growth strategy under great-wealth-transfer dynamics (women-as-decision-maker, next-generation, multicultural, business-owner, executive-client segments) all need to land at the principal level.

Advisors who build the modern practice take the next-generation client base. Advisors who stay on classic patterns watch AUM share shift to mega-RIAs and to AI-native practices.

This course teaches the 10-week build of modern wealth management AI strategy for independent advisory: advisor productivity framework, client insight framework, compliance posture, tech-stack modernisation plan, AUM-growth strategy, and the practice engagement model. Twelve modules with deliverables. Plus a hand-built implementation playbook for your specific practice and client mix.

What you walk away with

A documented AI-augmented advisor productivity framework.
A real-time client insight framework.
A compliance posture under SEC Reg BI + DOL fiduciary + FINRA Rule 2111 + state DOI.
A modern wealth-tech stack architecture.
An AUM-growth strategy under wealth-transfer dynamics.
A practice engagement model.
A 10-week build plan.

The 12 modules

Module 1. Independent wealth advisory landscape 2026

Detailed walkthrough of the independent wealth advisory landscape in 2026: mega-RIA expansion (Edelman Financial Engines, Mariner Wealth Advisors, Mercer Advisors, Captrust, Hightower, Wealth Enhancement, Cerity, Mission Wealth), captive private-bank pressure (the firm, BofA, Wells Fargo, Goldman, the firm, Citi, US Bank, BMO, Truist), AI-native advisory practices, AI-tool landscape, regulatory landscape (SEC, DOL, FINRA, state, EU), wealth-transfer dynamics, and the strategic-level decisions facing independent principals.

Module 2. AI-augmented advisor productivity

Build the AI-augmented advisor productivity framework: advisor-copilot pattern (call preparation from CRM + holdings + recent activity, meeting summary, follow-up drafting, proposal drafting, planning-discussion preparation), tax-loss-harvesting opportunity surfacing, gift-planning opportunity surfacing, business-succession opportunity surfacing, AI-driven content for client communications, and the change-management pattern that drives advisor adoption. Three productivity patterns at peer practices.

Module 3. Real-time client insight framework

Build the real-time client insight framework: life-event detection (job change, marriage, divorce, retirement, inheritance, illness, relocation), market-event triggers (volatility spikes, sector moves, interest-rate shifts, geopolitical events), tax-loss harvesting opportunities, gift-planning triggers, business-succession triggers, philanthropic-giving triggers, and the integration with broader CRM + planning tools. Three insight patterns at peer practices.

Module 4. Compliance posture

Build the compliance posture: SEC Regulation Best Interest application to AI-augmented recommendations, DOL fiduciary considerations, FINRA Rule 2111 suitability for hybrid practices, FINRA Rule 2210 communications, state insurance DOI for affiliated insurance products (annuities, life), state RIA registration for state-registered RIAs, EU AIFMD where applicable, EU AI Act where applicable, AI-recommendation-disclosure framework, and the integration with broader compliance. The posture that prevents the enforcement event.

Module 5. Modern wealth-tech stack

Build the modern wealth-tech stack architecture: CRM selection (Wealthbox, Redtail, Salesforce Financial Services Cloud, Practifi, in-house), financial-planning tool selection (eMoney, MoneyGuidePro, RightCapital, Naviplan, Asset-Map), portfolio-management selection (Orion, Tamarac, Black Diamond, Addepar, Envestnet), client-portal selection (Tegra118, Wealth Access, in-house), communications platform (Hubly, Snappy Kraken, FMG Suite), AI-augmentation platform (Jump AI, Zocks, Nexa, Salesforce Einstein, in-house), and the integration architecture.

Module 6. AUM-growth strategy

Build the AUM-growth strategy: women-as-client-decision-maker strategy (advisor training, content pattern, event strategy), next-generation client strategy (Gen X + millennial + Gen Z wealth recipients), multicultural-segment strategy, business-owner-client strategy (succession planning, sale-of-business proceeds), executive-client strategy (compensation planning, stock-option strategy), and the integration with broader practice growth. Three growth patterns at peer practices.

Module 7. Client experience modernisation

Build the client experience modernisation: digital client journey, advisor-led + digital-augmented experience, event-strategy modernisation (in-person + virtual + hybrid), educational-content strategy, philanthropy-services strategy, family-office services strategy, and the integration with broader client experience. The framework that drives retention and referral.

Module 8. Investment and planning strategy

Build the investment and planning strategy: model-portfolio framework, alternative-investments strategy (private equity, private credit, real assets, hedge funds, structured products), direct-indexing strategy, separately-managed-account strategy, tax-aware investment strategy, retirement-income strategy, and the integration with broader investment philosophy.

Module 9. Trust, estate, and philanthropy

Build the trust, estate, and philanthropy capability: trust-services strategy (in-house vs partner), estate-planning integration, charitable-giving strategy (donor-advised funds, private foundations, complex giving), business-succession planning, and the integration with broader fiduciary services.

Module 10. Practice economics and measurement

Build the practice economics and measurement: AUM tracking, revenue-mix tracking, advisor-productivity tracking, client-retention tracking, NPS tracking, regulatory-issue tracking, and the integration with broader practice management.

Module 11. Talent and succession

Build the talent and succession framework: associate-advisor career-track design, partner-track design, succession-planning framework, internal-merger framework, external-merger framework, sale-to-mega-RIA framework, and the integration with broader people strategy.

Module 12. Your 10-week build plan

Week-by-week plan with weekly deliverables. Weeks 1-2: independent wealth advisory landscape + AI-augmented advisor productivity framework. Weeks 3-4: real-time client insight framework + compliance posture. Weeks 5-6: modern wealth-tech stack architecture + AUM-growth strategy. Weeks 7-8: client experience modernisation + investment and planning strategy. Weeks 9-10: trust/estate/philanthropy + practice economics and measurement + talent and succession. Deliverable: modern wealth management AI strategy.

How this addresses your situation

Specific modules that map to what you said you are dealing with.

Module 1 covers the landscape.

Modules 2 to 4 produce advisor productivity, client insight, and compliance posture.

Module 5 covers the modern wealth-tech stack.

Module 6 covers AUM-growth strategy.

Module 7 covers client experience.

Module 8 covers investment and planning strategy.

Module 9 covers trust/estate/philanthropy.

Module 10 covers practice economics.

Module 11 covers talent and succession.

Module 12 covers the 10-week build plan.

What you get with this course

The 12-module course delivered as text plus downloadable templates.
Templates and worked examples for AI-augmented advisor productivity, real-time client insight, compliance posture, modern wealth-tech stack, AUM-growth strategy, client experience modernisation, investment and planning strategy, trust/estate/philanthropy, practice economics, talent and succession.
A hand-built implementation playbook generated for your specific practice and client mix.
Three worked examples of modern wealth management AI strategies at peer independent practices.
Scripted talking points for the practice growth and succession conversations.

What you will have in hand by Day 1, Week 1, Month 1

Day 1: AI-augmented advisor productivity framework scaffold drafted.

Week 4: Real-time client insight + compliance posture designed.

Week 8: Modern wealth-tech stack + AUM-growth strategy + client experience operational.

Week 10: Modern strategy in operation.

Before and after

Before

Your independent practice runs classic advisory patterns. AI-augmented advisor productivity is talked about but not deployed. Wealth-tech stack lags mega-RIA platforms. Compliance posture under AI is unclear. AUM-growth under wealth-transfer dynamics is reactive. Senior client work goes to mega-RIAs and AI-native practices.

After

A modern wealth management AI strategy is in operation. AI-augmented advisor productivity framework, real-time client insight framework, compliance posture, modern wealth-tech stack architecture, AUM-growth strategy, client experience modernisation, investment and planning strategy, trust/estate/philanthropy, practice economics, talent and succession are all designed.

What happens if you do not address this

Independent practices without the modern strategy lose AUM share to mega-RIAs and AI-native practices. SEC AI scrutiny under Reg BI is increasing.

Who it is for

For independent RIA principals, multi-family-office partners, fee-only advisors, fiduciary-only practitioners, and hybrid-practice principals.

Who this is NOT for. Pure broker-dealer registered representatives without RIA scope. Practitioners at firms with no advisory business. Pure operations roles.

How it arrives

Text-based course via LMS, plus downloadable templates and worked examples and the hand-built implementation playbook.

Time investment. Roughly 18 hours of reading and 60 to 120 hours of principal effort across the 10-week build.

Why $199 is the right number

External wealth-practice consultants (specialist firms like FA Insight, Cerulli Associates, ECHELON Partners, DeVoe & Company, FP Transitions) charge $200K-$1M for practice-modernisation programmes. Big4 wealth advisory engagements run $500K-$3M. AI-vendor implementations (Jump AI, Zocks, Nexa, Salesforce Einstein) run $50K-$500K/year. $199 buys the focused playbook plus the implementation document for your specific practice.

FAQ

Will this replace hiring a practice-modernisation consultant?

Partially. It teaches the modern strategy. You may still want specialist input for complex succession planning.

What if my practice is hybrid (broker-dealer + RIA)?

Module 4 covers hybrid-practice compliance.

Does this cover multi-family-office practice specifically?

Modules 6, 8, and 9 cover MFO patterns.

What about European-client compliance (EU AIFMD, EU AI Act)?

Module 4 covers European-client compliance.

What is in the implementation playbook for me specifically?

AI-augmented advisor productivity framework tailored to your specific practice; AUM-growth strategy matched to your client demographic; a 10-week build plan.

30-day money-back guarantee. If after a week of working through the materials this is not what you needed, reply to the receipt email and a full refund is processed. No questions, no forms.

Within 24 hours your account in the learning environment is provisioned and the tailored implementation playbook is delivered alongside it.