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

Financial Planning

The Keys to Finding Financial Harmony

By Jane Wollman Rusoff
Practice Management

9 Trends in How Women Work With Advisors

Industry Spotlight

How an Advisor Helps U.S. Expats Navigate Taxes, Planning

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

 Cambridge Investment Research, Inc. (Sponsored) Listen Now

A New Framework for Fee-Based Annuities with David Lau

 Jackson National Life Insurance (Sponsored) Listen Now

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
What Will You Do Differently in 2025?
What Will You Do Differently in 2025?

RIAs

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RIAs’ Market Optimism Ticks Up: Survey
RIAs’ Market Optimism Ticks Up: Survey
As Wire Fraud Claims Rise, Advisors May Find They Aren’t Properly Insured
As Wire Fraud Claims Rise, Advisors May Find They Aren’t Properly Insured
AI Will Wipe Out 80% of Financial Planning Business, Advisor Predicts
AI Will Wipe Out 80% of Financial Planning Business, Advisor Predicts
New RIA Platform Promises Better Compliance and Lower Advisor Costs
New RIA Platform Promises Better Compliance and Lower Advisor Costs

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 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
Ex-Wells Fargo Executives Face Millions in Fines for Misconduct
Ex-Wells Fargo Executives Face Millions in Fines for Misconduct

Switching Firms

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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
LPL Agrees to Purge Data From Recruited Ameriprise Advisors
LPL Agrees to Purge Data From Recruited Ameriprise Advisors

Women in Wealth

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SEC Launches Crypto Task Force
SEC Launches Crypto Task Force
Too Many Hats? Advisors Best Serve by Doing 'What They're Best at'
Too Many Hats? Advisors Best Serve by Doing 'What They're Best at'
The 4 Types of Prospects and How to Sell to Them
The 4 Types of Prospects and How to Sell to Them
Dodge & Cox CEO and Chair Dana Emery to Retire
Dodge & Cox CEO and Chair Dana Emery to Retire

Mergers & Acquisitions

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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
Fisher Investments Completes $3B Minority Stake Sale
Fisher Investments Completes $3B Minority Stake Sale

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