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

Q&A

Merrill Bets Big on on New 'Level Up' Training Program

By John Manganaro
News

XY Planning Network Tops 2,000 Advisors After Record 2024

Slideshow

9 Most Active Acquirers in Wealth: 2024

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Webcasts

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Culture Impacts Service! The United Planners Difference

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2025 Advisor Wealthtech Survey Results: Key Takeaways

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How to Scale Financial Planning Without Compromising Efficiency

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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

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'Naming and Shaming' Discourages Advisor Misconduct: Study
'Naming and Shaming' Discourages Advisor Misconduct: Study
UBS Delays Advisor Pay Cut From 12b-1 Fees
UBS Delays Advisor Pay Cut From 12b-1 Fees
Best & Worst Firms for Investor Satisfaction: J.D. Power, 2025
Best & Worst Firms for Investor Satisfaction: J.D. Power, 2025
Citi Copy-Paste Error Almost Sent $6B to Wealth Account
Citi Copy-Paste Error Almost Sent $6B to Wealth Account

RIAs

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IWI Set to Focus on Advisor Teams, HNW Planning at Event
IWI Set to Focus on Advisor Teams, HNW Planning at Event
How to Talk With Clients About Saving for a Disability
How to Talk With Clients About Saving for a Disability
Sharing These 12 Things Could Make You More Likable
Sharing These 12 Things Could Make You More Likable
Why Going Independent Was the Best Decision This Advisor Ever Made
Why Going Independent Was the Best Decision This Advisor Ever Made

Broker-Dealers

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Cambridge Appoints Ex-TD Ameritrade Exec as Tech Chief
Cambridge Appoints Ex-TD Ameritrade Exec as Tech Chief
Raymond James Hires COO for Independent Channel
Raymond James Hires COO for Independent Channel
The Big Firms That Gained, and Lost, the Most Advisors in 2024
The Big Firms That Gained, and Lost, the Most Advisors in 2024
Ameriprise Says LPL, Advisor Defied Restraining Order
Ameriprise Says LPL, Advisor Defied Restraining Order

Wirehouse Firms

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UBS Delays Advisor Pay Cut From 12b-1 Fees
UBS Delays Advisor Pay Cut From 12b-1 Fees
Wall Street Bonus Pool Surges to $47.5B for 2024
Wall Street Bonus Pool Surges to $47.5B for 2024
How Morgan Stanley Is Optimizing AI for Client Growth
How Morgan Stanley Is Optimizing AI for Client Growth
The Big Firms That Gained, and Lost, the Most Advisors in 2024
The Big Firms That Gained, and Lost, the Most Advisors in 2024

Switching Firms

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Thrivent Puts Values at Its Core — and It's Hiring Advisors
Thrivent Puts Values at Its Core — and It's Hiring Advisors
Why Going Independent Was the Best Decision This Advisor Ever Made
Why Going Independent Was the Best Decision This Advisor Ever Made
Here's What Separates the Best Wealth Advisors From the Rest
Here's What Separates the Best Wealth Advisors From the Rest
UBS Delays Advisor Pay Cut From 12b-1 Fees
UBS Delays Advisor Pay Cut From 12b-1 Fees

Women in Wealth

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Thrivent Puts Values at Its Core — and It's Hiring Advisors
Thrivent Puts Values at Its Core — and It's Hiring Advisors
Janet Yellen Joins PIMCO's Advisory Board
Janet Yellen Joins PIMCO's Advisory Board
How to Keep Women as Clients for the Long Haul
How to Keep Women as Clients for the Long Haul
Raymond James Hires COO for Independent Channel
Raymond James Hires COO for Independent Channel

Mergers & Acquisitions

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Carson Group's New Tax Whiz: These Are the Strategies Clients Need
Carson Group's New Tax Whiz: These Are the Strategies Clients Need
Dynasty Names Investment Bank Co-Heads
Dynasty Names Investment Bank Co-Heads
10 Biggest Wealth Management Deals in 2024
10 Biggest Wealth Management Deals in 2024
Your Firm Was Taken Over! Now What?
Your Firm Was Taken Over! Now What?

Clearing & Custodial Firms

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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
Schwab Stock Jumps After 44% Rise in New Assets
Schwab Stock Jumps After 44% Rise in New Assets
Schwab to Raise Advisor Network Referral Fees by 5%
Schwab to Raise Advisor Network Referral Fees by 5%