Industry News

Exclusive news, analysis, and commentary about the wealth mangement industry.

Advisor Upside

SEC Could Hit Ground Running on Crypto, Private Equity, ESG

Photo by Krblokhin via iStock

Mark Uyeda will serve as interim Securities and Exchange Commission Chair, while Paul Atkins awaits confirmation.

2 min read

Photo by Krblokhin via iStock

Advisor Upside

Why Vanguard Took a $106M SEC Fine For Lowering Its Minimums

The SEC charged the asset manager with misleading clients over changes to its retirement funds, leading to higher tax bills for investors.

1 min read
Photo by Amanz via Unsplash

Advisor Upside

Schwab, Blackstone Among Firms Fined By SEC Over Off-Channel Comms

The controversial enforcement actions have been called a “cash cow” by Commissioner Hester Peirce.

2 min read
Photo by Mattbuck via CC BY-SA 2.0

Advisor Upside

JPMorgan, Citi, Wells, Goldman Crush Q4 Earnings

Wall Street ended 2024 on a high note, providing investors with a sigh of relief as we enter the new year.

1 min read

Advisor Upside

Ads Featuring Burning Dollar Bills? UK Watchdog Says Nope

Photo by Jp Valery via Unsplash

The UK Advertising Standards Authority said Wahed Invest can no longer run posters with flaming US and EU bills.

1 min read

Advisor Upside

Fidelity Hires New Head of 1,700-member Family Office Network

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Fidelity has hired an industry veteran to lead one of the world’s largest professional networks of family offices.

1 min read

Advisor Upside

Ron ‘Omani’ Carson’s Next Venture? Spiritual Retreats

Photo via Carson Group

Ron Carson, the founder of the $38 billion RIA The Carson Group, is now offering spiritual retreats to clients all over the world.

2 min read