Industry Spotlight

Latest news, trends and analysis that advisors and other financial industry participants need to know about the business.

Advisors
RIAs
Broker-Dealers
Wirehouse Firms
Switching Firms
Women in Wealth
Mergers & Acquisitions
Clearing & Custodial Firms

Top Industry Spotlight Stories

Industry Spotlight

XYPN Unveils 'New Path to Independence' via Corporate RIA, With a Twist

By John Manganaro
Practice Management

10 Social Prospecting Mistakes to Avoid

Regulation and Compliance

Ameriprise: Departing Advisors Took 4,500 Clients' Data to LPL

Trending Stories

Webcasts

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The Path to Independence: Navigating the Four Key Dimensions for RIAs

 Sponsored by Charles Schwab Watch Now

Preparing Portfolios for 2025: Macro Outlook, Bond Strategies and ETF Trends

 PIMCO (Sponsored) Watch Now

The Future of Direct Indexing: Elevate Your Practice

 ThinkAdvisor, sponsored by Orion Watch Now

Podcasts

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The Long Road to Retirement With Chelsea Ransom-Cooper

 Jackson National Life Insurance (Sponsored) Listen Now

Representing the Spirit of Cambridge

 Cambridge Investment Research, Inc. (Sponsored) Listen Now

Tackling Seniors' Cost-of-Living Crisis with Shannon Benton

 ThinkAdvisor, sponsored by Jackson National Life Insurance Company Listen Now

Advisors

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Advisors Want Seamless Digital Experience With Asset Managers: J.D. Power
Advisors Want Seamless Digital Experience With Asset Managers: J.D. Power
5 Strategies for Capturing Wealthy Clients
5 Strategies for Capturing Wealthy Clients
What's at Stake in the Ameriprise-LPL Fight Over Client Data
What's at Stake in the Ameriprise-LPL Fight Over Client Data
Should Clients Change Advisors When They Retire?
Should Clients Change Advisors When They Retire?

RIAs

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Schwab to Consider More Deals
Schwab to Consider More Deals
Mercer Adds Nearly $1.7B in Assets via Two Deals
Mercer Adds Nearly $1.7B in Assets via Two Deals
October Broke RIA Deal Record: DeVoe
October Broke RIA Deal Record: DeVoe
Ex-Merrill Wealth Chief Launches RIA
Ex-Merrill Wealth Chief Launches RIA

Broker-Dealers

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LPL Begins Taking in $60B in Prudential Wealth Advisor Assets
LPL Begins Taking in $60B in Prudential Wealth Advisor Assets
Osaic Failed to Supervise Trading in Dead Client's Account: FINRA
Osaic Failed to Supervise Trading in Dead Client's Account: FINRA
Cetera Financial Group CEO to Retire
Cetera Financial Group CEO to Retire
What's at Stake in the Ameriprise-LPL Fight Over Client Data
What's at Stake in the Ameriprise-LPL Fight Over Client Data

Wirehouse Firms

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11 Best & Worst BDs: Q3 Earnings, 2024
11 Best & Worst BDs: Q3 Earnings, 2024
Morgan Stanley Dealt Blow in Deferred Comp Clawback Lawsuit
Morgan Stanley Dealt Blow in Deferred Comp Clawback Lawsuit
Goldman, JPMorgan Soar With Trump Poised to Deliver Deregulation
Goldman, JPMorgan Soar With Trump Poised to Deliver Deregulation
Morgan Stanley to Pay $1M Over Lack of Risk Controls
Morgan Stanley to Pay $1M Over Lack of Risk Controls

Switching Firms

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What's at Stake in the Ameriprise-LPL Fight Over Client Data
What's at Stake in the Ameriprise-LPL Fight Over Client Data
Ex-JPMorgan Advisor to Halt Client Poaching Amid Arbitration
Ex-JPMorgan Advisor to Halt Client Poaching Amid Arbitration
Raymond James Tops Estimates, Adds 75 Reps in Latest Quarter
Raymond James Tops Estimates, Adds 75 Reps in Latest Quarter
JPMorgan Says Ex-Advisor Is Trying to Poach $250M Book
JPMorgan Says Ex-Advisor Is Trying to Poach $250M Book

Women in Wealth

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12 Richest Americans in Sports: Forbes
12 Richest Americans in Sports: Forbes
What Trump's Win Means for the Markets: 3 VIP Views
What Trump's Win Means for the Markets: 3 VIP Views
5 Strategies for Capturing Wealthy Clients
5 Strategies for Capturing Wealthy Clients
How to Close Fintech's Gender Gap
How to Close Fintech's Gender Gap

Mergers & Acquisitions

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Captrust Buys $5B RIA Based in Boston
Captrust Buys $5B RIA Based in Boston
Mercer Nabs Another RIA in Colorado
Mercer Nabs Another RIA in Colorado
Stifel to Buy Part of B. Riley's Wealth Unit
Stifel to Buy Part of B. Riley's Wealth Unit
UBS Wants to Buy a U.S. Wealth Manager: Chairman
UBS Wants to Buy a U.S. Wealth Manager: Chairman

Clearing & Custodial Firms

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Robinhood to Buy TradePMR for $300M in RIA Push
Robinhood to Buy TradePMR for $300M in RIA Push
Schwab Launching Mortgage-Backed Securities ETF
Schwab Launching Mortgage-Backed Securities ETF
Schwab Expands 24-Hour Trading
Schwab Expands 24-Hour Trading
Banks Brace for Era of Consumer Data Sharing
Banks Brace for Era of Consumer Data Sharing