Practice Management

Advisor Upside

Creative Planning’s Peter Mallouk on Record Stores and Capitalism

Photo by Sean Benesh via Unsplash

Peter Mallouk experienced digital disruption firsthand in his career. Tech advancements will continue to upend the RIA industry as well.

2 min read

Photo by JHVEPhoto via iStock

Advisor Upside

Edward Jones Trims Fees for Mass Affluent Clientele

Edward Jones, one of the nation’s largest brokerages, is shaving fees for mass affluent clients come October — albeit by just a hair.

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

Advisor Upside

Rich Families’ Wealth to Grow to $9.5 Trillion by 2030

Wealthy families with their own family offices will be nearly 200% richer by the end of the decade, according to a Deloitte report.

1 min read
Photo by Gage Skidmore via CC BY-SA 2.0

Advisor Upside

FINRA Cases Hit Record Lows. Warren Wants Answers

FINRA enforcement cases plummeted last year, sliding to the lowest level in the agency’s history, which caught the eye of Elizabeth Warren.

2 min read

Advisor Upside

Where Does Gen Z Turn for Financial Advice? It’s Not TikTok

Photo by Kenny Eliason via Unsplash

Parents and family members are Gen Z’s No. 1 source for financial advice, even topping social media influencers.

1 min read

Advisor Upside

SEC Sends Message Over Off-Channel Communications

Photo by Anton via Pexels

Advisory firms are having to pay hefty fines if they get caught discussing business matters on personal devices.

1 min read

Advisor Upside

Morgan Stanley Faces SEC Questions Over Cash Sweeps

Photo by Krblokhin via iStock

Morgan Stanley is the latest firm to disclose an SEC inquiry into its cash sweep program that pays paper-thin interest rates to clients.

2 min read

Sign Up for The Daily Upside to Unlock This Article

Sharp news & analysis on finance, economics, and investing.