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

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Webcasts

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2025 Advisor Wealthtech Survey Results: Key Takeaways

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How to Scale Financial Planning Without Compromising Efficiency

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Are you prepared? What Early Policy Changes Mean for Compliance in 2025

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Podcasts

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Prudential Advisors Wants Advisors to Focus on Clients’ Diversity

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How Financial Professionals Can Help Clients Overcome Financial Worry

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Discovering Your Greatest Tool

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Advisors

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9 Ways to Make Model Portfolios Work for Clients: Advisors' Advice
9 Ways to Make Model Portfolios Work for Clients: Advisors' Advice
Ex-Fugitive Advisor, CNBC Guest to Plead Guilty to Securities Fraud
Ex-Fugitive Advisor, CNBC Guest to Plead Guilty to Securities Fraud
Retraining Advisors to Become 'Personal CFOs'
Retraining Advisors to Become 'Personal CFOs'
Texas Advisor and Radio Host Faces New Charges in Federal Fraud Probe
Texas Advisor and Radio Host Faces New Charges in Federal Fraud Probe

RIAs

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9 Ways to Make Model Portfolios Work for Clients: Advisors' Advice
9 Ways to Make Model Portfolios Work for Clients: Advisors' Advice
Senate Panel OKs Labor Secretary Nominee
Senate Panel OKs Labor Secretary Nominee
Robinhood Closes TradePMR Acquisition
Robinhood Closes TradePMR Acquisition
Yes, Canadians Can Participate in Social Security
Yes, Canadians Can Participate in Social Security

Broker-Dealers

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Judge Denies Ameriprise Restraining Order Against 3 Advisors Who Left for LPL
Judge Denies Ameriprise Restraining Order Against 3 Advisors Who Left for LPL
Ameriprise 'Chasing Headlines' in Client Data Dispute, LPL Argues
Ameriprise 'Chasing Headlines' in Client Data Dispute, LPL Argues
How Raymond James Smashed Recruiting and Profit Goals
How Raymond James Smashed Recruiting and Profit Goals
Ameriprise Files for TRO Against 3 Advisors for Taking Client Data to LPL
Ameriprise Files for TRO Against 3 Advisors for Taking Client Data to LPL

Wirehouse Firms

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Two Former UBS Advisors Say Firm Broke Wage Laws
Two Former UBS Advisors Say Firm Broke Wage Laws
Morgan Stanley Ordered to Pay $843,000 to Senior Scam Victim
Morgan Stanley Ordered to Pay $843,000 to Senior Scam Victim
Morgan Stanley Pays CEO Ted Pick $34M in First Year Leading Bank
Morgan Stanley Pays CEO Ted Pick $34M in First Year Leading Bank
Why Advisors Are More Than Happy to Leave the Wirehouses
Why Advisors Are More Than Happy to Leave the Wirehouses

Switching Firms

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LPL Adds $1.15B Wells Fargo FiNet Team in California
LPL Adds $1.15B Wells Fargo FiNet Team in California
Judge Denies Ameriprise Restraining Order Against 3 Advisors Who Left for LPL
Judge Denies Ameriprise Restraining Order Against 3 Advisors Who Left for LPL
Life, Health and Annuity Sales and Marketing Hiring May Hold Steady
Life, Health and Annuity Sales and Marketing Hiring May Hold Steady
Dynasty Financial Lands $900M Advisor Team
Dynasty Financial Lands $900M Advisor Team

Women in Wealth

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'Stop Treating Money Like Math,' Podcaster and Planner Says
'Stop Treating Money Like Math,' Podcaster and Planner Says
Jackson Still Has Too Much Money
Jackson Still Has Too Much Money
Most Women Are the Primary Investors in Their Household: CFP Board
Most Women Are the Primary Investors in Their Household: CFP Board
Cresset Names New Chief People Officer
Cresset Names New Chief People Officer

Mergers & Acquisitions

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Robinhood Closes TradePMR Acquisition
Robinhood Closes TradePMR Acquisition
Betterment Acquires Ellevest's Automated Investing Business
Betterment Acquires Ellevest's Automated Investing Business
BlackRock Is Out to Unite Public and Private Markets
BlackRock Is Out to Unite Public and Private Markets
Alera Seeks Strategic Acquisitions in Retirement Space
Alera Seeks Strategic Acquisitions in Retirement Space

Clearing & Custodial Firms

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Schwab to Raise Advisor Network Referral Fees by 5%
Schwab to Raise Advisor Network Referral Fees by 5%
Schwab Expands 24-Hour Trading to All Its Retail Clients
Schwab Expands 24-Hour Trading to All Its Retail Clients
TD Bank Sells Schwab Stake, Expects to Raise $14B
TD Bank Sells Schwab Stake, Expects to Raise $14B
Robinhood Says CFTC Asked It to Halt Super Bowl Wagers
Robinhood Says CFTC Asked It to Halt Super Bowl Wagers