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

RIAs

RIA Growth Could Stall in 2025: Report

By Melanie Waddell
Women in Wealth

How to Reshape Financial Services for Female Advisors and Clients

Advisors

Financial Advisor Conferences in 2025: An Evolving List

Trending Stories

Webcasts

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Culture Impacts Service! The United Planners Difference

 Sponsored by United Planners Watch Now

The Empathy Advantage: How Behavioral Finance is Reshaping Planning Conversations

 Sponsored by Orion Watch Now

Planning With Purpose: Trends in Guiding Clients for Values-Based Giving

 Sponsored by St. Jude Children's Research Hospital Watch Now

Podcasts

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When Advice Matters the Most With Andrew Crowell

 Jackson National Life Insurance (Sponsored) Listen Now

Getting Social Security Claiming Right With Joe Elsasser

 Jackson National Life Insurance (Sponsored) Listen Now

Prudential Advisors Wants Advisors to Focus on Clients’ Diversity

 Prudential Platinum (Sponsored) Listen Now

Advisors

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SEC Says Advisor Defrauded Clients on Fees
SEC Says Advisor Defrauded Clients on Fees
FINRA Panel Orders Advisor to Pay Ameriprise $383K
FINRA Panel Orders Advisor to Pay Ameriprise $383K
BNY Rolls Out New Products, Services at Insite Event
BNY Rolls Out New Products, Services at Insite Event
Some Affluent Investors Still Prefer Commission-Based Advice
Some Affluent Investors Still Prefer Commission-Based Advice

RIAs

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Sammons to Buy $8B Wealthcare From NewSpring
Sammons to Buy $8B Wealthcare From NewSpring
AI Saves Advisors 90 Minutes Per Client Meeting: F2 Strategy’s Doug Fritz
AI Saves Advisors 90 Minutes Per Client Meeting: F2 Strategy’s Doug Fritz
Why This Ex-Wirehouse and Bank Advisor Prefers the RIA Space
Why This Ex-Wirehouse and Bank Advisor Prefers the RIA Space
FINRA Panel Orders Advisor to Pay Ameriprise $383K
FINRA Panel Orders Advisor to Pay Ameriprise $383K

Broker-Dealers

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Goldman, Morgan Stanley and JPMorgan Laying Off Staff in June
Goldman, Morgan Stanley and JPMorgan Laying Off Staff in June
Ameriprise Fights LPL Advisors' Request to Block Device Search
Ameriprise Fights LPL Advisors' Request to Block Device Search
Supreme Court Rebuffs Challenge to FINRA's Authority
Supreme Court Rebuffs Challenge to FINRA's Authority
RBC Wealth Lands $1.6B UBS Group
RBC Wealth Lands $1.6B UBS Group

Wirehouse Firms

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Wells Fargo’s Asset Cap Lifted by Fed
Wells Fargo’s Asset Cap Lifted by Fed
Goldman, Morgan Stanley and JPMorgan Laying Off Staff in June
Goldman, Morgan Stanley and JPMorgan Laying Off Staff in June
Merrill Picks Up 6 Advisors From Rival Wirehouses
Merrill Picks Up 6 Advisors From Rival Wirehouses
At Morgan Stanley, This Ex-Teacher Schools the Heirs of Ultra-Wealthy Clients
At Morgan Stanley, This Ex-Teacher Schools the Heirs of Ultra-Wealthy Clients

Switching Firms

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Why This Ex-Wirehouse and Bank Advisor Prefers the RIA Space
Why This Ex-Wirehouse and Bank Advisor Prefers the RIA Space
$1T RIA Aggregator Captrust Names New Head of M&A
$1T RIA Aggregator Captrust Names New Head of M&A
Ameriprise Fights LPL Advisors' Request to Block Device Search
Ameriprise Fights LPL Advisors' Request to Block Device Search
Merrill Picks Up 6 Advisors From Rival Wirehouses
Merrill Picks Up 6 Advisors From Rival Wirehouses

Women in Wealth

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Why This Ex-Wirehouse and Bank Advisor Prefers the RIA Space
Why This Ex-Wirehouse and Bank Advisor Prefers the RIA Space
Ex-Envestnet Exec to Head Cetera's RIA Blueprint Platform
Ex-Envestnet Exec to Head Cetera's RIA Blueprint Platform
Social Security Analysts Step Up as Program Faces Political Attacks
Social Security Analysts Step Up as Program Faces Political Attacks
At Morgan Stanley, This Ex-Teacher Schools the Heirs of Ultra-Wealthy Clients
At Morgan Stanley, This Ex-Teacher Schools the Heirs of Ultra-Wealthy Clients

Mergers & Acquisitions

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Sammons to Buy $8B Wealthcare From NewSpring
Sammons to Buy $8B Wealthcare From NewSpring
Mariner Scores $1.4B Firm Serving Athletes
Mariner Scores $1.4B Firm Serving Athletes
$1T RIA Aggregator Captrust Names New Head of M&A
$1T RIA Aggregator Captrust Names New Head of M&A
Mercer Adds $2B Wealth Team in Oklahoma
Mercer Adds $2B Wealth Team in Oklahoma

Clearing & Custodial Firms

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Robinhood Is a 'Prime Candidate' for S&P 500 Addition: BofA
Robinhood Is a 'Prime Candidate' for S&P 500 Addition: BofA
Schwab Rehires RIA Exec From LPL
Schwab Rehires RIA Exec From LPL
Altruist Secures $152M in New Funding for Growth
Altruist Secures $152M in New Funding for Growth
Fidelity Apologizes for Website Problems
Fidelity Apologizes for Website Problems