Industry News

Advisor Upside

Supreme Court Upholds SEC’s Broad Disgorgement Powers

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The nation’s highest court agreed unanimously that the SEC doesn’t need to prove monetary harm to obtain disgorgement.

2 min read

Photo via Nexpher Images

Advisor Upside

Wellington’s $1.9B Deal to Buy Hartford Funds

As asset managers look to scale quicker, consolidation has become the name of the game.

2 min read
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Advisor Upside

Schwab Says Wealth Expansion Won’t ‘Bump Into’ RIA Clients

While advisors tend to feel confident that clients won’t leave them, there’s still a fair bit of, let’s say, tension.

2 min read
Photo via Tom Williams/CQ Roll Call/Newscom

Advisor Upside

What Advisors Expect from the New Federal Reserve Chair

2 min read

Advisor Upside

Industry Conferences May Be Getting Smaller. That’s the Point

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Organizers are focusing on peer-to-peer connections and practical education amid a sea of industry events competing for advisors’ attention.

2 min read

ETF Upside

Fidelity to Tack Service Fees on 100 More ETFs. Boutique Issuers May Be Hit Hardest

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As ETFs’ popularity boom, platforms are looking for ways to monetize that growth.

2 min read

Advisor Upside

Inside the Anthropic, OpenAI Deals That Are Reshaping Wall Street

Photo via Vincent Isore/ZUMAPRESS/Newscom

The makers of Claude and ChatGPT announced deals with Goldman Sachs, Brookfield Asset Management and others this week.

2 min read

Photo via Gina M Randazzo/ZUMAPRESS/Newscom

Advisor Upside

UBS, LPL Ramp Up Recruitment After Shedding Advisers in Early ’26

Both firms reported slight dips in their overall advisor headcounts for the first quarter.

2 min read
Photo via Connor Lin / The Daily Upside

Advisor Upside

Inside Cetera’s New $19B Employee-Advisor RIA

The new advisory practice, dubbed Cetera Planning Partners, combines Avantax Planning Partners and the Retirement Planning Group to expand services.

1 min read
Photo by Ray Hennessy via Unsplash

Advisor Upside

SEC Grants Dual-Share-Class Approval to Two Dozen More Issuers

It’s going to be a while before ETF share classes of mutual funds are commonplace, but many asset managers now have regulatory approval.

2 min read

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