Tag: Artificial Intelligence
The WealthStack Podcast: AI, Capacity and the Future of Advice with Mark Swan

The WealthStack Podcast: AI, Capacity and the Future of Advice with Mark Swan

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Everyone in wealth management is talking about artificial intelligence, but the more important question is what happens when it stops being just another feature and starts becoming the operating layer for the firm. Not just a notetaker. Not just a chatbot. Something that can actually help advisors scale capacity, reduce operational drag and make the tech stack feel a whole lot less fragmented.

In this episode of The WealthStack Podcast, host Shannon Rosic chats with Mark Swan, CEO and co-founder of Nevis, to explore what it really takes for AI to move beyond point solutions and into the core infrastructure of a modern RIA. He unpacks the difference between horizontal AI tools and vertical AI platforms, why voice may become the next major interface in advisor technology, and how firms can start thinking about AI not as a collection of disconnected tools, but as a system for orchestrating work across the front, middle and back office.

Key takeaways:

  • Why the real bottleneck in wealth management is advisor capacity, not demand
  • The difference between AI point solutions and a truly unified platform
  • What lessons from digital banking can teach wealth firms about scaling and reducing costs
  • Why voice could become a much more natural way for advisors to interact with their technology 
  • How lowering the cost to serve could make professional financial advice accessible to more clients

Resources:

Connect with Shannon Rosic:

Connect with Mark Swan:

About Our Guest:

Mark Swan is the CEO and Co-founder of Nevis, an AI platform built specifically for wealth management firms. Originally from Scotland, he brings a global perspective shaped by his experience helping scale Revolut into one of the largest digital banks in the world. At Nevis, Mark is focused on reducing the administrative burden that limits advisor capacity, using AI to streamline workflows and improve how firms operate. His work centers on helping advisors spend less time on processes and more time with clients, while also expanding access to financial advice through more efficient and scalable systems.

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The WealthStack Podcast: Elevating the Client Meeting with Dan Zitting

The WealthStack Podcast: Elevating the Client Meeting with Dan Zitting

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Client meetings remain the heartbeat of the advisory relationship, but the expectations around them have never been higher. Advisors are under pressure to show up prepared, deliver deeply personalized guidance and answer increasingly complex questions on the spot, all while navigating a fragmented tech stack and rising client expectations shaped by artificial intelligence.

In this episode of The WealthStack Podcast, host Shannon Rosic sits down with Nitrogen CEO Dan Zitting to unpack how technology is reshaping the before, during and after of client engagement. Fresh off Nitrogen’s Fearless Investing Summit, Zitting shares why the real opportunity in wealthtech isn’t replacing advisors with automation, but amplifying their expertise through connected workflows, compelling visuals and agentic AI.

Key takeaways:

  • Why the client meeting is becoming the most important battleground for advisor value
  • How Nitrogen rebuilt its platform around its Nucleus AI engine to automate advisor workflows
  • Why tax conversations may spark the next generation of “catalyst moments” for clients
  • Why persuasive visuals can transform client understanding and engagement
  • How AI tools could help advisors manage larger client books while offering deeper planning insights

Resources:

Connect with Shannon Rosic:

Connect with Dan Zitting:

About Our Guest:

Nitrogen CEO Dan Zitting is a SaaS entrepreneur & operator, with a passion for software that enables a bold vision, especially one as bold as empowering the world to invest fearlessly. Prior to Nitrogen, Dan spent 13 years in enterprise SaaS for governance, risk management, and compliance (GRC). That journey started with founding Workpapers.com, the first true cloud software for audit & compliance management, which was acquired by Galvanize (then ACL) in late 2011. Then, leading Galvanize, Dan oversaw growth into the industry-recognized leader globally in GRC as recognized by analysts, investors, and (most importantly) customers alike. Galvanize was ultimately acquired by Diligent in a $1B transaction that created by far the world’s largest company in GRC software, a $650m+ revenue SaaS business serving 25,000 customers in 130+ countries. Dan’s lessons along the way have been published in Forbes, The Wall Street Journal, Bloomberg, Business Week, Reuters, The Street, CNBC, etc., as well as from the stage at hundreds of professional speaking events.

Dan graduated with a BSBA in Information Systems and Finance from Colorado State University and received a Master of Accountancy from the University of Notre Dame. Dan believes his purpose is to challenge the planet’s organizations to maximize impact by operating with a conscience, and he’s found cloud software to be his best contribution to that personal mission.

 

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The WealthStack Podcast: Rethinking Technology, AI and the Advisor Experience with Freedom Dumlao

The WealthStack Podcast: Rethinking Technology, AI and the Advisor Experience with Freedom Dumlao

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Technology in wealth management isn’t just changing, it’s colliding with reality. Advisors are expected to deliver deeply personalized experiences, operate at consumer-grade speed and navigate increasing complexity, all on top of legacy systems never designed for this moment. As AI accelerates what’s possible, the real challenge isn’t adopting new tools, it’s rethinking how technology supports the advisor experience from the ground up.

In this episode of The WealthStack Podcast, host Shannon Rosic sits down with Vestmark CTO Freedom Dumlao to go behind the curtain of modern wealthtech and unpack why advisor experience, data integration and agentic AI are now the real battlegrounds for scaling RIAs. 

Key takeaways:

  • Why consumer software experiences are redefining advisor expectations at work
  • How integration challenges quietly drain time and limit true personalization
  • Why agentic AI is the real leap forward
  • Why the advisor’s moat is validation, not information
  • How compliance doesn’t kill innovation, it sharpens it

Resources:

Connect with Shannon Rosic:

Connect with Freedom Dumlao:

About Our Guest:

Freedom Dumlao is the Chief Technology Officer at Vestmark, where he leads the firm’s technology strategy with a focus on resilience, scalability, and building long-term client confidence. He brings a disciplined, hands-on approach shaped by senior leadership roles at Amazon, Zipcar, Flexcar, Wayfair, and Drift, including his work on the Alexa machine learning and AI platform. A strong advocate for open-source communities, Freedom also serves as a board member and treasurer of Ruby Central. Outside of work, he enjoys woodworking, cooking, and spending time with his two daughters building robots and experimenting with electronics.

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The WealthStack Podcast: Portfolio Personalization Without the Ops Headache with Wes Caywood

The WealthStack Podcast: Portfolio Personalization Without the Ops Headache with Wes Caywood

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As advisors race to deliver “personalized” portfolios at scale, a hard reality is setting in: most personalization is still just a model tweak with a nicer label. Meanwhile, clients want more hands-on service, more transparency and more customization, while firms are trying to grow without hiring an army of operations and investment staff. The result is a widening gap between what clients expect and what legacy portfolio tools can realistically deliver. The firms that win won’t be the ones stacking more complexity. They’ll be the ones using automation to deliver truly bespoke outcomes, with clearer decisioning, tighter risk controls and better records behind every trade.

In this episode of The WealthStack Podcast, host Shannon Rosic sits down with Wes Caywood, head of distribution at Pave Finance, to unpack what “real personalization” actually means in 2026, why portfolio complexity rarely translates into client-perceived value and how automation can make portfolio management more defensible, not less. 

Key takeaways:

  • How to modernize portfolio management with “blowing up” your existing workflows
  • Where AI actually fits in portfolio management
  • Where the personalization gap shows up most clearly (and why it becomes an ops and time problem fast)
  • What automation should capture for compliance, auditability, and transparency 
  • The biggest mistake firms make when evaluating portfolio tech

Resources:

Connect with Shannon Rosic:

Connect with Wes Caywood:

About Our Guest:

Wes Caywood is the Head of Distribution at Pave Finance, where he works closely with advisors and firms to modernize portfolio management through thoughtful use of technology and automation. With more than 20 years in financial services, Wes brings deep experience working with sophisticated clients, family offices, and advisory teams. A U.S. Naval Academy graduate and former Navy officer, he is driven by a service-oriented mindset and a focus on helping advisors deliver personalized, well-prepared client experiences at scale.

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From Franken-Stacks to AI Agents: The Annual WealthTech Outlook with Davis Janowski

From Franken-Stacks to AI Agents: The Annual WealthTech Outlook with Davis Janowski

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For three years running, the WealthStack season has officially started the same way: with an unfiltered wealthtech outlook conversation between Shannon Rosic and Davis Janowski, senior technology editor and research analyst at Wealth Management. If 2025 was the year firms finally started using AI, 2026 is shaping up to be the year we find out whether all that tech actually pays the rent.

In this annual tech vibe check, Shannon and Davis dig into how AI notetakers quietly reshaped advisor workflows, why agentic AI and “AI operating systems” are the next wave, and what this all means for junior talent, firm structure and the future “Chief AI Officer.”

They also explore whether Franken-stacks are really dying, how niche platforms and new lead-gen tools are redefining value, and why cybersecurity and deepfakes may be the biggest underpriced risks on every CTO’s roadmap. 

Key takeaways:

  • What under-the-radar innovations to watch in the 2026
  • How data fragmentation limits real AI adoption despite rising tech budgets
  • What agent-based platforms signal about the future of advisor software
  • Why critical thinking remains more valuable than pure AI skills
  • How cybersecurity risks are growing faster than regulatory responses

Resources:

Connect with Shannon Rosic:

Connect with Davis Janowski:

About Our Guest:

Davis Janowski is a New York-based technology journalist whose work spans consumer, business and the FinTech sectors.

Prior to his six years with WM, Janowski worked for Forrester Research as an analyst covering Digital Wealth Management. In edition, he has worked for two FinTech startups, Wealthfront and New York-based FeeX, Inc. (now Pontera). His work covering the advisor tech space began in 2007 when he joined InvestmentNews as the advisor industry’s first dedicated technology reporter. His start in tech journalism began as an editor with PC Magazine in 1999 where he later served as an analyst and reviewer.

His work has appeared in The New York Times, Wealth Management, Financial Planning, RIABiz, InvestmentNews, PC Magazine, numerous blogs and several books, including Technology Tools for Today’s High Margin Practice. He has also been a speaker and moderator at numerous industry conferences.

Outside his day-to-day he is a senior guide for Manhattan Kayak Company in New York City.

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The WealthStack Podcast: Jason Pereira’s Unfiltered Take on 2025 Wealthtech Wins and Wipeouts

The WealthStack Podcast: Jason Pereira’s Unfiltered Take on 2025 Wealthtech Wins and Wipeouts

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Technology promises speed and clarity, yet frustration keeps showing up instead. Many firms buy tools expecting instant results, only to find the real challenges start after launch.

In this episode of The WealthStack Podcast, host Shannon Rosic speaks with Jason Pereira, senior partner and financial planner at Woodgate Financial, about what actually broke in wealthtech adoption this year. They unpack why most failures are human, not technical, how unrealistic expectations derail implementation and why AI often complicates workflows before helping. 

They also explore where AI truly adds value, why surface-level integrations fall short, and what advisors should focus on before buying the next shiny tool.

Key takeaways:

  • Why most tech “fails” at the human level
  • The rise and risks of vibe coding and DIY tools
  • AI’s real wins and painful misfires in 2025
  • The danger of treating complex tools like plug-and-play appliances
  • What advisors should actually do heading into 2026

Resources:

Connect with Shannon Rosic:

Connect with Jason Pereira:

About Our Guest:

Jason Pereira is a financial planner who has lived and breathed financial planning for over 20 years. Over that time, he has become a recognized writer, commentator, speaker, podcaster, teacher, and voice in financial planning, practice management, and fintech. He has earned two degrees, nine professional designations, been nominated for or received more than 30 industry awards, and produced over 750 articles, podcasts, and interviews. JasonPereira.ca serves as his platform for sharing the insights, perspectives, and lessons he has gathered throughout his career.

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The WealthStack Podcast: AI, Advice and the Future of Financial Planning with Ken Lotocki

The WealthStack Podcast: AI, Advice and the Future of Financial Planning with Ken Lotocki

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As AI shifts from novelty to necessity in wealth management, the real unlock isn’t shiny tools, it’s smarter planning. Advisors need technology that compresses plan-build time, surfaces next-best actions and keeps clients engaged without losing the human in the loop. How can AI move firms from episodic planning to an additive, always-on model? By turning personalization at scale into a practical reality across the wealth stack.

In this episode, host Shannon Rosic speaks with Ken Lotocki, chief product officer of Conquest Planning, about innovations like Conquest’s Strategic Advice Manager, the role of hybrid models, and how estate and legacy planning tie into the next generation of client engagement.

They also discuss:

  • How Conquest enables advisors to spend less time on technology and more time with clients
  • How AI augments (not replaces) advisors by making planning the hub of the client journey
  • The role of AI and SAM in delivering real-time insights and additive planning
  • Why best-in-breed + open APIs beat building a CRM in-house
  • What the $80 million Series B unlocks for product velocity and U.S. expansion

Resources:

Connect with Shannon Rosic:

Connect with Ken Lotocki:

About Our Guest:

Ken Lotocki, Chief Product Officer at Conquest Planning, has nearly 20 years of experience in financial services technology, specializing in product management and business analysis. As a founder of Conquest, he shapes the firm’s product direction and drives innovation. Previously, Ken led technology strategy at Cambrian Credit Union and was the Product Director at Advicent, advancing NaviPlan’s strategy in North America. He holds an Honours Bachelor of Commerce from the University of Manitoba.

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The WealthStack Podcast: The Strategy Behind Allworth’s 40+ AI Initiatives

The WealthStack Podcast: The Strategy Behind Allworth’s 40+ AI Initiatives

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As artificial intelligence becomes table stakes, RIAs and enterprises alike are experimenting with tools to streamline workflows, improve client experiences and scale smarter. But while many firms are testing isolated tools, the real opportunity lies in weaving AI into the very DNA of a business, transforming it from a tech experiment into a strategic advantage. 

In this episode of the WealthStack Podcast, host Shannon Rosic speaks with John Bunch, CEO of Allworth Financial, to explore how one of the industry’s rapidly growing RIAs is pushing AI beyond pilot programs. With more than 40 active initiatives and an internal AI Council guiding adoption, Allworth is proving that the future of advice isn’t just about efficiency, it’s about strategy, culture and client impact.

John discusses:

  • Why Allworth launched 40+ projects
  • How AI can elevate client relationships 
  • The role of the AI Council in driving adoption and ROI
  • His “fail fast, fix it or ditch it” approach to innovation and automation beyond AI
  • What it takes to align business strategy and tech strategy in practice

Resources:

Connect with Shannon Rosic:

Connect With John Bunch:

About Our Guest:

John Bunch is the Chief Executive Officer at Allworth Financial. Universally recognized within the wealth management industry, he has accumulated an extensive 30-year history of successfully leading and expanding award-winning organizations that serve both retail and institutional clients.

Before coming to Allworth, John spent over three years as the Chief Financial Services Director at Evelyn Partners (formerly Tilney Smith & Williamson), a leading integrated wealth management and professional services firm headquartered in the United Kingdom. Prior to that, he was the Chief Operating Officer and Executive Vice President of Edelman Financial Engines – where he oversaw 130 branch offices – and the Chief Executive Officer of The Mutual Fund Store. Before that, he held several key institutional sector leadership positions, including Executive Vice President at TD Ameritrade and Divisional Senior Vice President at Charles Schwab & Co.

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The WealthStack Podcast: The Meeting Assistant Revolution with Parker Ence

The WealthStack Podcast: The Meeting Assistant Revolution with Parker Ence

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In an industry where personalization and scale are often at odds, AI-powered meeting assistants are becoming a cornerstone of the modern advisor’s tech stack. These tools promise to eliminate hours of administrative work by automatically capturing meeting notes, updating CRMs and handling post-meeting follow-ups. But in wealth management, where trust, accuracy and compliance are everything, the stakes are high—and not all notetakers are created equal.

In this episode of The WealthStack Podcast, host Shannon Rosic sits down with Parker Ence, CEO and co-founder of Jump Advisor AI, to explore how the firm is redefining what an AI assistant can do for financial advisors. 

Tune in as this episode unpacks:

  • Why Jump is not just another AI notetaker—and what it actually does
  • How the platform saves advisors 1–3 hours per day with compliant automation
  • Why integrations and advisor customization are core to adoption and scale
  • What 11,000 advisor-client conversations are teaching us about behavioral trends
  • The future of agentic AI, and why “just make that happen” might be your next favorite button

Resources:

Connect with Shannon Rosic:

Connect with Parker Ence:

About Our Guest:

Parker Ence is an entrepreneur and operator with 12 years of experience as a CEO or co-founder across advisory tech, data/DaaS, AI, SaaS, and insurtech. As CEO, Parker has operated companies in spinoff, turnaround/distressed, and 0-1 startup scenarios. Other early experiences were in PE/VC, GTM consulting, and economic development.

Jump Advisor AI brings the AI-Enhanced Client Meeting Cycle to financial advisors. It’s how RIA/BD teams cut client meeting admin time by 90% and elevate the client and advisor experience by putting notes, CRM updates, tasks, and compliance logs on AI autopilot. Jump is made for advisors, easy to set up, 100% customizable, secure, and compliant, and integrates closely with the advisor tech stack. It’s like hiring a meeting assistant, faster than dictating, and all-in-one for advisors. 

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