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

Practice Management

Too Many Hats? Advisors Best Serve by Doing 'What They're Best at'

By Jane Wollman Rusoff
Practice Management

Number of CFPs in U.S. Tops 103,000

Industry Spotlight

Janney Montgomery Scott Names New CEO

Trending Stories

Webcasts

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The Future of HNW Success: 2025 Investment and Planning Trends

 Sponsored by Orion Watch Now

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

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Podcasts

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How Financial Professionals Can Help Clients Overcome Financial Worry

 TruStage (Sponsored) Listen Now

Discovering Your Greatest Tool

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A New Framework for Fee-Based Annuities with David Lau

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Advisors

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New Raymond James Program Seeks to Support Tampa Bay Education
New Raymond James Program Seeks to Support Tampa Bay Education
Janney Added 27 Advisors in 2024
Janney Added 27 Advisors in 2024
Citi Wealth Taps J.P. Morgan Wealth Exec for Investment Advisory Role
Citi Wealth Taps J.P. Morgan Wealth Exec for Investment Advisory Role
How an Advisor Helps U.S. Expats Navigate Taxes, Planning
How an Advisor Helps U.S. Expats Navigate Taxes, Planning

RIAs

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Judge Dismisses Hollywood Managers’ Suit Against Goldman, Focus Financial
Judge Dismisses Hollywood Managers’ Suit Against Goldman, Focus Financial
Focus Partners Wealth to Buy $4.2B RIA
Focus Partners Wealth to Buy $4.2B RIA
The Dos and Don'ts of Adding New Clients
The Dos and Don'ts of Adding New Clients
Many Young Advisors Lack Key Skills. Here's How RIAs Can Help.
Many Young Advisors Lack Key Skills. Here's How RIAs Can Help.

Broker-Dealers

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Goldman Rakes In Record Wealth Revenue
Goldman Rakes In Record Wealth Revenue
SEC Fines LPL $18M for AML Violations
SEC Fines LPL $18M for AML Violations
New Raymond James Program Seeks to Support Tampa Bay Education
New Raymond James Program Seeks to Support Tampa Bay Education
Ex-Intern Waged Smear Campaign Against Raymond James, Suit Alleges
Ex-Intern Waged Smear Campaign Against Raymond James, Suit Alleges

Wirehouse Firms

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BofA CEO Says He’s ‘Not Going Anywhere’
BofA CEO Says He’s ‘Not Going Anywhere’
BofA Boosts Earnings on Strong Loan Income
BofA Boosts Earnings on Strong Loan Income
Morgan Stanley Profit Doubles to $3.7B
Morgan Stanley Profit Doubles to $3.7B
Wells Fargo Shares Rise on Cost Cuts
Wells Fargo Shares Rise on Cost Cuts

Switching Firms

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Diamond Consultants Moves Into Executive Search
Diamond Consultants Moves Into Executive Search
Janney Added 27 Advisors in 2024
Janney Added 27 Advisors in 2024
Citi Wealth Taps J.P. Morgan Wealth Exec for Investment Advisory Role
Citi Wealth Taps J.P. Morgan Wealth Exec for Investment Advisory Role
FINRA Awards $4.8M to Baird in Raymond James Poaching Dispute
FINRA Awards $4.8M to Baird in Raymond James Poaching Dispute

Women in Wealth

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Single Women, Rich Millennials Will Fuel Luxury Real Estate This Year
Single Women, Rich Millennials Will Fuel Luxury Real Estate This Year
This Ohio Regulator Will Help Shape How U.S. Annuity Sales Rules Really Work
This Ohio Regulator Will Help Shape How U.S. Annuity Sales Rules Really Work
Widows Will Inherit $51 Trillion in Great Wealth Transfer: Cerulli
Widows Will Inherit $51 Trillion in Great Wealth Transfer: Cerulli
SEC Launches Crypto Task Force
SEC Launches Crypto Task Force

Mergers & Acquisitions

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Focus Partners Wealth to Buy $4.2B RIA
Focus Partners Wealth to Buy $4.2B RIA
Advisor360 Acquires Generative AI Tech Developer
Advisor360 Acquires Generative AI Tech Developer
Mariner to Buy $292B Cardinal Investment Advisors
Mariner to Buy $292B Cardinal Investment Advisors
Ex-Merrill Wealth Head John Thiel Launches RIA
Ex-Merrill Wealth Head John Thiel Launches RIA

Clearing & Custodial Firms

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Schwab Earnings Top Estimates on Record Inflows
Schwab Earnings Top Estimates on Record Inflows
TD Mulling Fate of Schwab Stake in Review, Incoming CEO Says
TD Mulling Fate of Schwab Stake in Review, Incoming CEO Says
How Advisors Can Protect Clients From Instant Payment Fraud
How Advisors Can Protect Clients From Instant Payment Fraud
Wells Fargo Loses Head of Advisor Recruiting to PNC
Wells Fargo Loses Head of Advisor Recruiting to PNC