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

UBS Reorganizes U.S. Wealth Management Unit in Growth Push

By Noele Illien and Jeff Black
Practice Management

Conference Certification Firm Choir to Shut Down at Year-End

Industry Spotlight

Sallie Krawcheck Steps Down From Ellevest, Citing Health

Trending Stories

Webcasts

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Trump's Market Impact: Navigating Opportunities in AI, Crypto and ETFs

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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

Podcasts

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Discovering your Greatest Tool

 Cambridge Investment Research, Inc. (Sponsored) Listen Now

A New Framework for Fee-Based Annuities with David Lau

 Jackson National Life Insurance (Sponsored) Listen Now

Bogart Wealth Uses Education to Develop a New Generation of Advisors

 Bogart Wealth (Sponsored) Listen Now

Advisors

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CFP Board Seeks Feedback on Competency Standards
CFP Board Seeks Feedback on Competency Standards
Retail Direct Channels Are Gobbling Advisors' Market Share: Cerulli
Retail Direct Channels Are Gobbling Advisors' Market Share: Cerulli
Number of CFP Exam-Takers Sets New High
Number of CFP Exam-Takers Sets New High
Mariner Adds $878M in AUM With Two Acquisitions
Mariner Adds $878M in AUM With Two Acquisitions

RIAs

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Jamie Hopkins: Clients Will Leave RIAs That Don't Offer This Service
Jamie Hopkins: Clients Will Leave RIAs That Don't Offer This Service
The Future of RIA Annuity Distribution Has Arrived: David Lau
The Future of RIA Annuity Distribution Has Arrived: David Lau
Fewer RIA Leaders Are Planning for Succession. What Gives?
Fewer RIA Leaders Are Planning for Succession. What Gives?
Corient Acquires $8B RIA in Maine
Corient Acquires $8B RIA in Maine

Broker-Dealers

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When Disaster Strikes, Raymond James Gets to (Volunteer) Work
When Disaster Strikes, Raymond James Gets to (Volunteer) Work
Meet the 2024 Luminaries Winners
Meet the 2024 Luminaries Winners
LPL Begins Taking in $60B in Prudential Wealth Advisor Assets
LPL Begins Taking in $60B in Prudential Wealth Advisor Assets
FINRA Files to Raise Fees Starting in 2025
FINRA Files to Raise Fees Starting in 2025

Wirehouse Firms

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Merrill to Settle Overtime Suit for $4.9M
Merrill to Settle Overtime Suit for $4.9M
BofA’s Moynihan Hints That He’s Just Getting Started
BofA’s Moynihan Hints That He’s Just Getting Started
E-Trade Plans Zero-Cost Funds That Only Platform Clients Can Buy
E-Trade Plans Zero-Cost Funds That Only Platform Clients Can Buy
Retail Direct Channels Are Gobbling Advisors' Market Share: Cerulli
Retail Direct Channels Are Gobbling Advisors' Market Share: Cerulli

Switching Firms

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FINRA Awards $4.8M to Baird in Raymond James Poaching Dispute
FINRA Awards $4.8M to Baird in Raymond James Poaching Dispute
LPL Agrees to Purge Data From Recruited Ameriprise Advisors
LPL Agrees to Purge Data From Recruited Ameriprise Advisors
Citi Taps BlackRock Portfolio Manager to Be Wealth Unit's CIO
Citi Taps BlackRock Portfolio Manager to Be Wealth Unit's CIO
What's at Stake in the Ameriprise-LPL Fight Over Client Data
What's at Stake in the Ameriprise-LPL Fight Over Client Data

Women in Wealth

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Blackstone’s Wealth Boss Targets $1T in Assets
Blackstone’s Wealth Boss Targets $1T in Assets
Vanguard to Launch New Advice and Wealth Unit
Vanguard to Launch New Advice and Wealth Unit
Carson Group President Teri Shepherd to Resign in March
Carson Group President Teri Shepherd to Resign in March
Court Action in Carson Group Lawsuit Pushed to May 2025
Court Action in Carson Group Lawsuit Pushed to May 2025

Mergers & Acquisitions

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Fewer RIA Leaders Are Planning for Succession. What Gives?
Fewer RIA Leaders Are Planning for Succession. What Gives?
Corient Acquires $8B RIA in Maine
Corient Acquires $8B RIA in Maine
6 RIA Valuation Drivers in 2025 and Beyond
6 RIA Valuation Drivers in 2025 and Beyond
3 Best Practices to Position an RIA for Sale
3 Best Practices to Position an RIA for Sale

Clearing & Custodial Firms

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Wells Fargo Loses Head of Advisor Recruiting to PNC
Wells Fargo Loses Head of Advisor Recruiting to PNC
Schwab Eyes Spot Crypto Trading Once Regulations Change
Schwab Eyes Spot Crypto Trading Once Regulations Change
Schwab Reviewing Advisor Network Referral Fees
Schwab Reviewing Advisor Network Referral Fees
Robinhood to Buy TradePMR for $300M in RIA Push
Robinhood to Buy TradePMR for $300M in RIA Push