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The T&E Inner Circle | What to Expect After Mid-term Elections ↗
November 16, 2026 | 2:00 PM EST
Ancestry’s CEO says a billionaire boss taught him to eat lunch with employees in the break room—it gives him access to ‘unfiltered information’ ↗
Ancestry’s Howard Hochhauser says that CEOs get wrapped “in this bubble.” Apple and Duolingo execs are also breaking free by breaking bread with staffers.
When a Family Has Several Advisors ↗
Someone needs to own the whole picture.
‘Trojan horse’: California’s top 1% pay nearly half the state’s income taxes. Prop 40 opponents warn the billionaire tax could reach everyone else ↗
The state legislature could modify Prop 40 with a two-thirds vote, but courts would also weigh in on any attempts to stretch the scope to all taxpayers.
Gen Zers are now the biggest spenders in the art market, survey finds ↗
Gen Zers have become the most active buyers of high-end art, changing the face of a market long dominated by Baby Boomers, according to a new survey.
Advisor Sentiment Index: Market Optimism Slides Downward ↗
Even as most financial advisors remain optimistic in the prospects for the economy and the stock market, a growing minority sees some clouds ahead.
RIA Edge 100: Pathstone’s Unusual Growth Engine Includes Skiing, Fly Fishing Trips ↗
CEO Matthew Fleissig attributes Pathstone’s growth to unconventional moves that range from widespread employee ownership to hosting backcountry ski trips with clients.
Deals & Moves: The Mather Group, AlphaCore Snag $400M RIAs ↗
In addition, Summit Wealth Group continues to expand with a firm in Tennessee, and $6 billion BakerAvenue sells a stake to Constellation.
Advisors are building portfolios for the wrong clients ↗
As trillions flow to women and widowed clients, Uplevyl's Shubi Rao says biased data, rationed advisor face time and outdated fee models cost the industry.
How RIAs can beat the clock when leaving Fidelity custody ↗
Industry experts say moving assets from one custodian to another can happen in a matter of weeks. But any number of stumbles and mishaps can cause the process to stretch into months.
'Real boss of India?': Elon Musk takes aim at Indian billionaire Ambani as Starlink launch stalls ↗
Musk claimed Starlink was not being allowed to launch in India despite spending five years complying with every single law and requirement of the government.
What the industry gets wrong about DIY investors ↗
While the wealth management industry usually counts self-directed clients as a separate segment of investing from its traditional base, new research suggests that there are many customers who have both a financial…
WealthStack Roundup: Retirement Income Planning Tech Gains New Urgency ↗
New research shows nearly 40% of investors want detailed, actionable retirement plans, pushing advisors toward specialized distribution-phase technology, plus news of the week from Bento Engine, Betterment, Asset-Map…
Wealthtech Vendors Scramble as Orion Introduces Data Access Fees ↗
The monthly Connected Ecosystem Support Fee has sparked debate over transparency, pricing models and who ultimately bears the cost in an AI-driven advisory landscape.
Mark Cuban on why AI is the wrong job-killer target: It’s the health care costs, stupid ↗
“It’s far easier to blame AI than it is to blame health care costs,” the billionaire and founder of Cost Plus Drugs said. The math makes his point.
Trump accounts expand to nearly 70M kids as stock proposal draws questions ↗
The IRS proposed rules that would let donors gift stock to Trump accounts and request comments on the strict minimum holding period for beneficiaries.
People Moves: Cresset Hires Blackstone Alum Joe Zidle Chief Market Strategist ↗
In other moves, custody and clearing firm Innovayte and RIA Arax name new COOs, and Mesirow hires an investment expert from Morningstar.
Equity Compensation’s Missing Layer: Guidance ↗
Providing equity isn’t enough if employees can’t make sense of it.
Mercer Advisors Completes $1.9B Debt Refinancing, Adds $340M Credit Facility ↗
The Denver-based RIA entered the syndicated loan market for the first time with the move, replacing its private debt with lower-interest-rate debt and extending its financing timeline.
$5B Trilogy Lands Colorado-based RIA Specializing in Aviation Workers ↗
The Colorado-based RIA, founded by a former pilot, is Trilogy’s largest acquisition of the year.
Hightower Signature Wealth Folds in $1B Michigan RIA ↗
The deal pushes Hightower’s nearly year-old W-2 RIA channel to over $40 billion in assets under management.
The Diamond Podcast for Financial Advisors: The Wirehouse Talent Battle ↗
Wirehouse advisor movement accelerated sharply in the first half of 2026. Louis and Jason Diamond unpack the numbers, the forces driving them, and what they reveal about an increasingly competitive advisor marketplace.
Neglected clients charge a 'silence tax.' 3 ways not to pay ↗
Advisors who fail to communicate between reviews give rise to client doubt, even if their financial plan is going well.
Wirehouse departures are up. How firms can appeal to those advisors ↗
Cerulli Associates finds in a new survey that pay is, indeed, important to advisors changing firms. But it's not the top priority.
Wirehouses Lost 517 Advisors in First Half of 2026 ↗
But the headline numbers don’t capture the size of teams leaving the wirehouses and mask significant differences by firm, according to a Diamond Consultants report.
Four Practices Bring $1B to Ascentis Independent From Raymond James ↗
The advisors, who operated as a unified Raymond James branch since 2022, will keep the firm as their primary custodian while joining Dallas-based RIA platform Ascentis.
M1 Brings AI Financial Advice to Clients ↗
The fintech's new service is free through 2027 and operates under a fiduciary duty, advising on investing, cash and borrowing accounts without human advisors.
AI could take advisors back 3 decades. That's a good thing ↗
As AI speeds up client communication, an advisor's own voice is what keeps relationships personal.
New data flips the script on winning rollover business ↗
While rollover assets increase with retirement savers' age, many rollover transactions occur well before retirement, according to new data and a panel of six experts. For financial advisors, that presents a potential…
Merit Financial Snags 10th Commonwealth Advisor ↗
The Atlanta-based RIA acquired Moldenhauer & Associates, a New York wealth management practice overseeing $1.1 billion in client assets across nearly 1,900 households.
Fidelity: $100M Custody Minimum to Impact a Few Hundred Firms ↗
Fidelity pegs the number of advisors that will have to leave its platform by June 2027 as less than 1% of its total clearing and custody assets.
Focused on the Future: How RIA Leaders Can Prepare for Growth, Technology and AI with Stan Gregor ↗
Summit Financial's Stan Gregor discusses how the firm’s infrastructure, technology and cybersecurity prepared the firm for long-term growth.
How to Advise a Business Client With a Personal Judgment Against Them ↗
Don’t overlook the importance of entity structure.
Don’t be Fooled by IUL Policy Income Projections ↗
There’s more than meets the eye when looking at the printouts.
NYC Families That Fled to Suburbs See Jersey Discount Disappear ↗
“At this phase, it’s more expensive for us to raise kids in New Jersey than New York.”
California Billionaires’ Nemesis Plots National Wealth Tax Fight ↗
With four weeks until Election Day, Dan Regan and his healthcare-workers union are in the final stretch of a campaign to persuade Californians to embrace the billionaire tax.
Ken Leech Agrees to $3M SEC Fine over Cherry-Picking Case ↗
Leech agreed to the penalty without admitting SEC allegations that he’d fraudulently steered more than $600 million in gains to favored clients while forcing losses on others.
401(k) Real Talk Episode 211: October 7, 2026 ↗
Open, honest and candid discussion about jobs numbers, Edward Jones expanding 401(k) tools, where to spend tech money and obstacles to the convergence of wealth and retirement at work.
Dropped by Fidelity? Here are RIAs' custody options ↗
Fidelity has informed RIAs custodying with it to find new custodians if they can't get to $100M in AUM.
A $13 billion property mogul is the latest to flee Britain’s new taxes for Monaco, a warning sign as California votes on a billionaire tax ↗
David Reuben's move to Monaco follows a wave of departures since the U.K. scrapped its non-dom regime—and offers a preview of the fight California voters are deciding with Proposition 40.
3 ways RIAs can respond to Fidelity's new $100M minimum ↗
RIAs that custody less than $100 million with Fidelity have several options to choose from before being forced out of the firm next year. None of them is necessarily easy.
With $74M in growth capital, can RQD boost its RIA custody business? ↗
While it isn't a household name in most U.S. wealth management circles, RQD* Clearing just drew a substantial growth investment on the basis of its international clearing business. Can that translate to more stateside…
You've Invested in AI. So Why Isn't it Doing the Real Work? ↗
The question is whether the operating system underneath it can actually put it to work.
$1.1B Hightower Naples Joins Flagship Firm The Bahnsen Group ↗
The $1.1 billion Florida practice marks the first acquisition under TBG's franchise model following its April integration with Hightower as a new advisory hub.
Creative Planning Hires Marketing Chief with Finance, Consumer Brand Experience ↗
Ovi Vitas will bring experience from Marriott, Reebok and EA Sports to help Creative Planning grow its international presence.
Custodians, RIA Platforms Target Fidelity Clients on Heels of $100M Minimum ↗
RIA custodians such as Schwab, Axos and Betterment, as well as some RIA platforms, are reaching out to those advisors who may need to shift some or all of their assets off Fidelity by June 2027.
Aspen Standard Wealth's 10th Acquisition Is for $1B Louisiana RIA ↗
$16 billion RIA holding company Aspen Standard Wealth has added Cullen Investment Group, a Lafayette-based RIA.
14 Investment Must Reads for This Week (Oct. 6, 2026) ↗
It was a big week on the regulatory front, with the industry attempting to make sense of new SEC proposals on retail alternatives and the IRS’s proposed tax changes to popular 351 ETF conversions. These are among the…
What ‘White Glove’ Means Today ↗
For ultra-high-net-worth clients, responsiveness is no longer the standard. It’s table stakes.
High Earners Stop Maxing Out 401(k)s, Betting They Can Outsmart Retirement Savings ↗
Savers are questioning whether the set-it-and-forget-it 401(k) is holding them back.
Wealthspire Announces $2.9B Sports and Entertainment Practice ↗
The New York-based RIA's new vertical will focus on professional athletes, entertainers and creators, building on practice head Frank Marzano’s experience in the sector.
Retirement plans offer advisors a bridge to new wealth clients ↗
In their "bridge to wealth" study, Cerulli Associates and Morningstar look at how advisors can turn defined contribution plan participants into individual wealth management clients.
Investing the first $100M: A centimillionaire's view ↗
An upperhigh net worth investor offers three portfolio allocations as clients climb the asset-accumulation ladder.
How an AM radio host dialed up her niche business ↗
Drive time with Alex Lundgren and other financial advisors helped spur a niche serving Micron employees in Idaho.
LPL Recruits $1.1B Team to its RIA Channel From Wells Fargo's FiNet ↗
Georgia-based Praxis Financial Partners brings four advisors and a support staff to LPL’s RIA platform after evaluating more than a dozen firms.
The T&E Inner Circle | Planning With Embryos ↗
October 5, 2026 | 2:00 PM EST
Colleges Slash Tuition Bills by $20,000 in Reckoning Over Costs ↗
At least five colleges have announced plans to cut tuition in fall 2027.
CFTC Proposes Registering Crypto Exchanges Offering Leverage ↗
The CFTC and the Securities and Exchange Commission are working to bridge the regulatory gap after the Clarity Act was blocked.
Q&A: What the Spike in Treasuries Means for Real Estate Investing ↗
The recent increase in interest rates has gotten priced into REIT stocks, and also shone a brighter light on the persistent divergence with implied private real estate valuations.
Top 40 Brokers Under 40: Call for 2027 nominations ↗
Financial Planning is seeking candidates under the age of 40 for its annual awards recognizing advisor employees at both wirehouse and regional firms for industry-leading production.