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

Why We're Enhancing Our Focus on Recruiting Momentum 

By Janet Levaux
Slideshow

10 Biggest Wealth Management Deals: Q1 2025

Q&A

What Advisors Should Know When Their BD Gets Acquired

Trending Stories

Webcasts

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

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

How Top RIAs Use Peer Data to Guide Portfolio Strategy

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Beyond Marketing: Turning Education into Your Most Effective Growth Tool

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Podcasts

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Prudential Advisors Wants Advisors to Focus on Clients’ Diversity

 Prudential Platinum (Sponsored) Listen Now

How Financial Professionals Can Help Clients Overcome Financial Worry

 TruStage (Sponsored) Listen Now

Discovering Your Greatest Tool

 Cambridge Investment Research, Inc. (Sponsored) Listen Now

Advisors

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Carson Group Names Women in Wealth Management Award Winners
Carson Group Names Women in Wealth Management Award Winners
Edward Jones Adds Alt Investments, Advanced Planning for HNW Clients
Edward Jones Adds Alt Investments, Advanced Planning for HNW Clients
Where Advisor Income Grew the Most in 2024
Where Advisor Income Grew the Most in 2024
How Opening a Morgan Stanley Account Led to a Fraud Arrest
How Opening a Morgan Stanley Account Led to a Fraud Arrest

RIAs

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3 Ways to Position Your Practice for Sustained Success
3 Ways to Position Your Practice for Sustained Success
For Goldman, RIA Service Starts With 'Unlocking Time'
For Goldman, RIA Service Starts With 'Unlocking Time'
Mercer Roars Past 100th Acquisition
Mercer Roars Past 100th Acquisition
AdvicePay Buys Compensation Software Firm
AdvicePay Buys Compensation Software Firm

Broker-Dealers

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Cetera Taps Ex-Equitable Exec to Lead Branch Office Model
Cetera Taps Ex-Equitable Exec to Lead Branch Office Model
LPL CEO Pledges Continuity for Commonwealth Advisors
LPL CEO Pledges Continuity for Commonwealth Advisors
FINRA Clarifies Outside Business Activities Plan
FINRA Clarifies Outside Business Activities Plan
Raymond James to Buy Stakes in Some Advisor Practices
Raymond James to Buy Stakes in Some Advisor Practices

Wirehouse Firms

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Why Fewer Young People Are Becoming Financial Advisors
Why Fewer Young People Are Becoming Financial Advisors
UBS in Talks to Sell Hedge Fund Unit to Cantor Fitzgerald
UBS in Talks to Sell Hedge Fund Unit to Cantor Fitzgerald
UBS Will Pay $511M to End Credit Suisse U.S. Tax Probe
UBS Will Pay $511M to End Credit Suisse U.S. Tax Probe
Morgan Stanley Targets College Sports Stars With New Partnership
Morgan Stanley Targets College Sports Stars With New Partnership

Switching Firms

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Why Fewer Young People Are Becoming Financial Advisors
Why Fewer Young People Are Becoming Financial Advisors
Cetera Taps Ex-Equitable Exec to Lead Branch Office Model
Cetera Taps Ex-Equitable Exec to Lead Branch Office Model
LPL CEO Pledges Continuity for Commonwealth Advisors
LPL CEO Pledges Continuity for Commonwealth Advisors
Mercer Roars Past 100th Acquisition
Mercer Roars Past 100th Acquisition

Women in Wealth

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Fierce Annuity Competition Pushes Issuers to Stand Out
Fierce Annuity Competition Pushes Issuers to Stand Out
NAPA Names New President in 'Complex' Retirement Plan Environment
NAPA Names New President in 'Complex' Retirement Plan Environment
World's 15 Richest Women: Forbes, 2025
World's 15 Richest Women: Forbes, 2025
Carson Group Names Women in Wealth Management Award Winners
Carson Group Names Women in Wealth Management Award Winners

Mergers & Acquisitions

More Stories
Mercer Roars Past 100th Acquisition
Mercer Roars Past 100th Acquisition
AdvicePay Buys Compensation Software Firm
AdvicePay Buys Compensation Software Firm
Raymond James to Buy Stakes in Some Advisor Practices
Raymond James to Buy Stakes in Some Advisor Practices
What the LPL-Commonwealth Deal Means for Advisors
What the LPL-Commonwealth Deal Means for Advisors

Clearing & Custodial Firms

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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
Ex-Schwab CEO Walt Bettinger Joins Private Equity Firm
Ex-Schwab CEO Walt Bettinger Joins Private Equity Firm