The Inaugural Roundtable · Session 01

What's Changing in Wealth-Management Compliance in 2026?

A 40-minute editorial roundtable for RIAs, CCOs, and family-office leadership. Three external thought leaders, live audience Q&A, no product pitches. Free to attend.

40-minute formatLive Q&AReplay distributedFree · Reserved
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Reserve · Free
Session 01 · Inaugural

Education-first. Topic confirmed before broadcast. Replay sent to all registrants.

What you will take away

Four arguments. One conversation.

The opening session frames the regulatory environment for the next twelve months — and what wealth-management firms should have documented before the next examination.

01
SEC Marketing Rule — the next wave of enforcement.
Reading the December 2025 Risk Alert: where examiners are now and what repeat findings now route directly to Enforcement.
02
FINRA modernization — what changes for RIAs.
The convergence of FINRA's oversight reach and SEC priorities — and where independent RIAs are now exposed.
03
AI governance — supervision before the first deployment.
A documentation framework for advisor AI tools that satisfies the 2026 examination question every CCO is about to face.
04
Off-channel communications — moving from defense to discipline.
Behavioural surveillance, retention infrastructure, and the supervisory posture that turns risk into a competitive moat.
The 40-Minute Format

An editorial conversation — not a lecture.

01 · Introduction
5min
Editorial framing of the question and the guests.
02 · Thought Leadership
20–22min
Core practitioner discussion — no slides, no pitches.
03 · Live Q&A
8–10min
Audience questions submitted via chat — curated live.
04 · Brand Integration
5–8min
A brief look at how leading firms are addressing the question.
On-Demand Replay Library

Past sessions.

0 replays · launching with Session 01Subscribe for every replay →
The library opens with Session 01. Registrants receive the replay link, the 2-page editor's summary, and the related deep-dive essay automatically.
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40 min
Session 01 · Inaugural
Regulatory Armor

What's Changing in Wealth-Management Compliance in 2026?

SEC marketing-rule enforcement, FINRA modernization, AI governance, and the documentation examiners now expect — three external thought leaders, live Q&A.

Speakers · Founding cohort
Names released one week before broadcast
Forthcoming · Session 0140 min · Editorial
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40 min
Forthcoming · 02
Technology & AI

The Automated RIA — where AI ends and fiduciary judgment begins.

A framework for the supervisory documentation every CCO will be asked for — and a perspective on which advisor decisions should never be automated.

Speakers · Founding cohort
Fintech founders · CTOs · Practice consultants
Session 02 · Forthcoming40 min · Editorial
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40 min
Forthcoming · 03
Practice Growth

Valuation Architecture — building a sellable practice before the wave.

37% of advisors retire this decade. 60% have no written plan. A framework for pricing what the retirement wave is otherwise about to take.

Speakers · Founding cohort
RIA founders · Practice coaches · M&A counsel
Session 03 · Forthcoming40 min · Editorial
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40 min
Forthcoming · 04
Tax & Estate

The advisor's leverage in the largest wealth transfer in history.

$124T moves across generations through 2048. The advisors who retain those assets are doing three specific things now — we will cover all three.

Speakers · Founding cohort
CPAs · Tax attorneys · Estate planners
Session 04 · Forthcoming40 min · Editorial
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40 min
Forthcoming · 05
Alternatives

Beyond 60/40 — engineering non-correlated returns for HNW portfolios.

Private credit, real assets, and the discipline of saying no. Reading the post-2024 alternatives landscape with practitioners who allocate it daily.

Speakers · Founding cohort
Fund managers · Alt-investment strategists
Session 05 · Forthcoming40 min · Editorial
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Who Attends

Built for senior practitioners.

A sophisticated, senior-level audience — not retail investors. We assume our attendees know the industry and value practical, actionable insight over recycled summaries.

  • +RIA Founder / Principal
  • +Chief Compliance Officer
  • +Wealth-Management Executive
  • +Family Office Professional
  • +Tax Attorney / CPA
  • +Estate Planning Specialist
  • +Fintech Founder / CTO
  • +Securities Attorney / Former Regulator
Editorial Standards

What you will not see.

No Product Pitches
The 80% of the session that is editorial is editorial. Sponsors are introduced, never inserted.
No Sponsor Scripts
Speakers are not given talking points. The conversation is theirs. The editing is ours.
Editorial Review
Every guest is vetted by the editorial board. Merit over access, every session.
Independent
The agenda is set by the editorial board. Not by a vendor. Not by a sponsor.
Common Questions

Frequently asked.

Reserve a seat at the inaugural roundtable.

Forty minutes. Three external thought leaders. One disciplined editorial conversation — and the documentation you should have ready before your next examination.

Reserve seat — it is free →
Speak at a Roundtable

Founding cohort · applications open.

We are commissioning the founding cohort of external thought leaders — former regulators, RIA CCOs, fintech founders, and securities counsel. No charge to speak. Editorial review only.

Apply as a founding speaker →