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

News

LPL Is Buying Commonwealth for $2.7B. What Happens Next?

By Janet Levaux
News

Dual Acquisitions Bring Nearly Another $1B to Mercer

News

Wells Fargo Advisors Nabs LPL Recruiting Exec

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Webcasts

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Encrypted Messaging, Unseen Risks: Navigating Compliance with WhatsApp, Telegram and Signal

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Beyond Marketing: Turning Education into Your Most Effective Growth Tool

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Guiding Clients Without Heirs | Key Strategies for Advisors

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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

More Stories
How Opening a Morgan Stanley Account Led to a Fraud Arrest
How Opening a Morgan Stanley Account Led to a Fraud Arrest
Stay or Go? Advisor Consultant Offers 7 Points to Consider
Stay or Go? Advisor Consultant Offers 7 Points to Consider
Advisors Tread Carefully to Avoid Spooking Clients as Markets Plunge
Advisors Tread Carefully to Avoid Spooking Clients as Markets Plunge
Josh Brown: It's Not Time to Buy the Dip
Josh Brown: It's Not Time to Buy the Dip

RIAs

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Mariner and Vanilla Strike Estate Planning Deal
Mariner and Vanilla Strike Estate Planning Deal
Commonwealth Advisors Have Decisions to Make as LPL's Rivals Come Knocking
Commonwealth Advisors Have Decisions to Make as LPL's Rivals Come Knocking
Schwab Sees Upside From Market Mayhem
Schwab Sees Upside From Market Mayhem
For Douglas Boneparth, Attracting Clients Is a Laughing Matter
For Douglas Boneparth, Attracting Clients Is a Laughing Matter

Broker-Dealers

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Raymond James Launches Proprietary AI Search Tool
Raymond James Launches Proprietary AI Search Tool
SEC Backs Off Dealer Rule, but Legal Uncertainty Remains — SEC Roundup
SEC Backs Off Dealer Rule, but Legal Uncertainty Remains — SEC Roundup
LPL Calls Ameriprise Data-Breach Notices 'Defamatory'
LPL Calls Ameriprise Data-Breach Notices 'Defamatory'
Edward Jones Files to Launch a Bank
Edward Jones Files to Launch a Bank

Wirehouse Firms

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How Opening a Morgan Stanley Account Led to a Fraud Arrest
How Opening a Morgan Stanley Account Led to a Fraud Arrest
Raymond James Adds 3 Teams With $2B in Assets
Raymond James Adds 3 Teams With $2B in Assets
Morgan Stanley Nabs $1B Team From UBS
Morgan Stanley Nabs $1B Team From UBS
Ex-Morgan Stanley Advisor Sentenced to 12 Years in Fraud Scheme
Ex-Morgan Stanley Advisor Sentenced to 12 Years in Fraud Scheme

Switching Firms

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Commonwealth Advisors Have Decisions to Make as LPL's Rivals Come Knocking
Commonwealth Advisors Have Decisions to Make as LPL's Rivals Come Knocking
Stay or Go? Advisor Consultant Offers 7 Points to Consider
Stay or Go? Advisor Consultant Offers 7 Points to Consider
How an Ex-NFL Player Is Leading SageSpring's Growth Push
How an Ex-NFL Player Is Leading SageSpring's Growth Push
LPL Calls Ameriprise Data-Breach Notices 'Defamatory'
LPL Calls Ameriprise Data-Breach Notices 'Defamatory'

Women in Wealth

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Christine Benz: How Tariffs Could Hit Clients' Cash Flows
Christine Benz: How Tariffs Could Hit Clients' Cash Flows
Advisors Have Options as RIA Deal Wave Powers Forward
Advisors Have Options as RIA Deal Wave Powers Forward
Schwab's Sonders: Bear Market Possible if Tariffs Stick
Schwab's Sonders: Bear Market Possible if Tariffs Stick
Schwab's Sonders: Mega-Caps Could Fall Further, Dragging Down Rest of Stock Market
Schwab's Sonders: Mega-Caps Could Fall Further, Dragging Down Rest of Stock Market

Mergers & Acquisitions

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Commonwealth Advisors Have Decisions to Make as LPL's Rivals Come Knocking
Commonwealth Advisors Have Decisions to Make as LPL's Rivals Come Knocking
Atria Co-Founders to Exit LPL
Atria Co-Founders to Exit LPL
Bluespring Taps Former LPL Exec for Growth Role
Bluespring Taps Former LPL Exec for Growth Role
LPL Strikes Deal With First Horizon Bank
LPL Strikes Deal With First Horizon Bank

Clearing & Custodial Firms

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Fidelity Apologizes for Website Problems
Fidelity Apologizes for Website Problems
Ex-Schwab CEO Walt Bettinger Joins Private Equity Firm
Ex-Schwab CEO Walt Bettinger Joins Private Equity Firm
Robinhood Wants to Be Your Clients' Wealth Manager for $250 a Year
Robinhood Wants to Be Your Clients' Wealth Manager for $250 a Year
Fidelity, Schwab Block Clients From Buying 3 BlackRock and Texas Capital ETFs
Fidelity, Schwab Block Clients From Buying 3 BlackRock and Texas Capital ETFs