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

Building Your Business

What Clients Really Want to Hear From Advisors: Ex-Merrill Exec

By Jane Wollman Rusoff
Alternative Investments

Schwab Names a Crypto Chief

Building Your Business

Advisor Shortage Could Reach 100,000 by 2034: McKinsey

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Webcasts

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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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Are you prepared? What Early Policy Changes Mean for Compliance in 2025

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Podcasts

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Prudential Advisors Wants Advisors to Focus on Clients’ Diversity

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Advisors

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Ex-Fugitive Advisor, CNBC Guest to Plead Guilty to Securities Fraud
Ex-Fugitive Advisor, CNBC Guest to Plead Guilty to Securities Fraud
Retraining Advisors to Become 'Personal CFOs'
Retraining Advisors to Become 'Personal CFOs'
Texas Advisor and Radio Host Faces New Charges in Federal Fraud Probe
Texas Advisor and Radio Host Faces New Charges in Federal Fraud Probe
How 7 Advisors Are Easing Clients' Tariff Worries: Advisors’ Advice
How 7 Advisors Are Easing Clients' Tariff Worries: Advisors’ Advice

RIAs

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Advisors See M&A Surge in 2025: DeVoe
Advisors See M&A Surge in 2025: DeVoe
How to Get an Accurate RIA Valuation, Then Triple It
How to Get an Accurate RIA Valuation, Then Triple It
12 States With the Highest Top Income Tax Rates: 2025
12 States With the Highest Top Income Tax Rates: 2025
What Trump’s Tax Policies Could Mean for Clients
What Trump’s Tax Policies Could Mean for Clients

Broker-Dealers

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How Raymond James Smashed Recruiting and Profit Goals
How Raymond James Smashed Recruiting and Profit Goals
Ameriprise Files for TRO Against 3 Advisors for Taking Client Data to LPL
Ameriprise Files for TRO Against 3 Advisors for Taking Client Data to LPL
11 Best & Worst Broker-Dealers: Q4 Earnings, 2024
11 Best & Worst Broker-Dealers: Q4 Earnings, 2024
LPL’s New Leader Moves Past CEO Firing With Eye on Growth
LPL’s New Leader Moves Past CEO Firing With Eye on Growth

Wirehouse Firms

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Morgan Stanley Ordered to Pay $843,000 to Senior Scam Victim
Morgan Stanley Ordered to Pay $843,000 to Senior Scam Victim
Morgan Stanley Pays CEO Ted Pick $34M in First Year Leading Bank
Morgan Stanley Pays CEO Ted Pick $34M in First Year Leading Bank
Why Advisors Are More Than Happy to Leave the Wirehouses
Why Advisors Are More Than Happy to Leave the Wirehouses
UBS Expects Advisor Attrition Due to Pay Cuts
UBS Expects Advisor Attrition Due to Pay Cuts

Switching Firms

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With Ban on Non-Competes in Limbo, Forfeiture Provisions Face Legal Scrutiny
With Ban on Non-Competes in Limbo, Forfeiture Provisions Face Legal Scrutiny
LPL Unveils Exit Planning Capabilities for Business Owners and CEOs
LPL Unveils Exit Planning Capabilities for Business Owners and CEOs
How Raymond James Smashed Recruiting and Profit Goals
How Raymond James Smashed Recruiting and Profit Goals
Why Advisors Are More Than Happy to Leave the Wirehouses
Why Advisors Are More Than Happy to Leave the Wirehouses

Women in Wealth

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Jackson Still Has Too Much Money
Jackson Still Has Too Much Money
Most Women Are the Primary Investors in Their Household: CFP Board
Most Women Are the Primary Investors in Their Household: CFP Board
Cresset Names New Chief People Officer
Cresset Names New Chief People Officer
From Efficient to Enduring: The Keys to an Extraordinary Client Experience
From Efficient to Enduring: The Keys to an Extraordinary Client Experience

Mergers & Acquisitions

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BlackRock Is Out to Unite Public and Private Markets
BlackRock Is Out to Unite Public and Private Markets
Alera Seeks Strategic Acquisitions in Retirement Space
Alera Seeks Strategic Acquisitions in Retirement Space
Joe Duran's Rise Growth Partners Makes Another Minority Investment
Joe Duran's Rise Growth Partners Makes Another Minority Investment
7 Do’s and Don’ts When Changing Firms or Breaking Away
7 Do’s and Don’ts When Changing Firms or Breaking Away

Clearing & Custodial Firms

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Schwab to Raise Advisor Network Referral Fees by 5%
Schwab to Raise Advisor Network Referral Fees by 5%
Schwab Expands 24-Hour Trading to All Its Retail Clients
Schwab Expands 24-Hour Trading to All Its Retail Clients
TD Bank Sells Schwab Stake, Expects to Raise $14B
TD Bank Sells Schwab Stake, Expects to Raise $14B
Robinhood Says CFTC Asked It to Halt Super Bowl Wagers
Robinhood Says CFTC Asked It to Halt Super Bowl Wagers