{
  "id": 19170217,
  "title": "Adviser links: sudden windfalls",
  "url": "https://urgent.news/2026/11/09/adviser-links-sudden-windfalls",
  "topic": "finance",
  "section": "Finance & Markets",
  "published": "2026-11-09T15:27:15.000Z",
  "source": {
    "name": "Abnormal Returns",
    "slug": "abnormal-returns",
    "url": "https://abnormalreturns.com/2026/11/09/adviser-links-sudden-windfalls/"
  },
  "original_language": "en",
  "account": "Podcast host Josh Brown discusses new financial rules for artists, innovators, and misfits with AJ Ayers, author of Creative Money: New Financial Rules for Artists, Innovators, and Misfits.\n\nDave Nadig speaks with Barry Ritholtz about succession planning at Ritholtz Wealth Management.\n\nBrent Sullivan interviews Srikanth Narayan, founder and CEO of Cache, regarding exchange traded funds.\n\nFrazer Rice talks about PPLI with Jay Judas, CEO of Life Insurance Strategies Group.\n\nThe Securities and Exchange Commission will now classify Registered Investment Advisers (RIAs) managing less than $1 billion in assets as small entities, a change from the previous threshold of $25 million since 1998.\n\nThis development has significant implications for many RIAs.\n\nCharter provider Charles Schwab is incorporating Docusign into its offerings for advisers.\n\nGoldman Sachs is joining Carson Group as a custody partner.\n\nRaising fees on current clients can be challenging but may be necessary at times.\n\nThe third-party adviser ranking may not be as valuable as previously thought.\n\nTalent acquisition poses a major obstacle for RIAs looking to move upmarket.\n\nTax planning is essential for advisers who are not currently addressing it.\n\nTwo major adviser conferences are scheduled to coincide in 2027.\n\nDIY investors often seek professional assistance as they approach retirement.\n\nAn overview of recent developments in adviser technology, including further restrictions on credential sharing services.\n\nA comprehensive 2026 year-end tax planning checklist is available.\n\nSubscribers to the Talking Wealth newsletter receive exclusive content for wealth management professionals.\n\nRetirees tend to preserve their nest eggs rather than spend them down.\n\nUpdating one's beliefs is a difficult process.",
  "summary": "Mondays are all about financial adviser-related links here at Abnormal Returns. You can check out last week’s links including a look at...",
  "key_points": [
    "SEC classifies RIAs managing under $1 billion as small entities",
    "Charter provider Charles Schwab integrates Docusign for advisers",
    "Talent acquisition is a major obstacle for RIAs moving upmarket"
  ],
  "editors_take": null,
  "illustration": null,
  "coverage": {
    "outlets": 1,
    "also_reported_by": []
  },
  "ai_generated": true,
  "disclaimer": "Summaries, key points and the editor’s take are written by software from other outlets’ reporting and may contain errors — always check the linked original."
}