Charles Schwab

Advisor Upside

Nasdaq to Open New Office on ‘Y’All Street’

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The operator of the tech-heavy Nasdaq Composite Index will establish a new regional headquarters in Dallas.

1 min read

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Advisor Upside

The RIA Industry Is Getting Younger. Not Your Average Advisor

As Americans’ wealth and demand for professional advice grows, the clock is ticking for firms to find new recruits.

3 min read
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Advisor Upside

Hybrid Work Schedules Become a New Normal in Advice Industry

Large pockets of the financial industry are still embracing flexible work schedules — especially independent firms.

2 min read
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Advisor Upside

Don’t Mess With Texas Stock Exchange’s $161m Raise

The project would provide a venue for smaller, private companies to list, and open up new investment opportunities for clients.

2 min read

Advisor Upside

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

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

2 min read

Advisor Upside

Robinhood Targets Wealth Management with TradePMR Deal

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The free trading platform aims to connect its retail investors to services traditionally saved for wealthier investors.

2 min read

Advisor Upside

Neuberger Berman Buys Stake in Mariner in Latest RIA Deal

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The deal is the latest example of major investments into the RIA space, with much of the funding coming from private equity.

2 min read

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Advisor Upside

Schwab Says Farewell to Retiring CEO Walt Bettinger

Charles Scwhab’s next chief executive Rick Wurster looks to continue the legacy of current CEO Walt Bettinger.

1 min read
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Advisor Upside

Schwab Eyes Financial Advice as Cash Sweeps Dry Up

The online brokerage has long relied on bank revenues, like cash-sweep programs, but executives are now leaning into wealth management.

2 min read
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ETFs

The Vanguard Patent Shaking Up the Fund Industry

Nearly 50 years ago, Vanguard disrupted the investing world by launching the first index fund for individual investors. Now comes the sequel.

5 min read

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