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

Federal Regulation

Ex-Schwab Financial Consultant Claims Age Discrimination

By Melanie Waddell
RIAs

Cetera Adds 'RIA and Branches' Channel

Advisors

Financial Advisor Conferences in 2025: An Evolving List

Trending Stories

Webcasts

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How Leading Firms Are Deploying AI Without Compliance Risk

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Customization at Scale: Using Direct Indexing to Maximize Tax Benefits and Client Value

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The Empathy Advantage: How Behavioral Finance is Reshaping Planning Conversations

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Podcasts

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Busting Retirement Income Myths With Michael Finke

 Jackson National Life Insurance (Sponsored) Listen Now

The Entrepreneurial Mindset With Reed Colley

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When Advice Matters the Most With Andrew Crowell

 Jackson National Life Insurance (Sponsored) Listen Now

Advisors

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Wells Fargo Revises Rules on Internal FiNet Transfers
Wells Fargo Revises Rules on Internal FiNet Transfers
Fired Edward Jones Advisor Wins a Cleanup of His Record
Fired Edward Jones Advisor Wins a Cleanup of His Record
SEC Says Advisor Defrauded Clients on Fees
SEC Says Advisor Defrauded Clients on Fees
FINRA Panel Orders Advisor to Pay Ameriprise $383K
FINRA Panel Orders Advisor to Pay Ameriprise $383K

RIAs

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11 Ways to Answer 'What Do You Do?'
11 Ways to Answer 'What Do You Do?'
Osaic Buys $13.5B Boston-Based RIA 
Osaic Buys $13.5B Boston-Based RIA 
Cetera to Commonwealth Advisors: We Know You’re Not Happy
Cetera to Commonwealth Advisors: We Know You’re Not Happy
7 Simple Phrases That Make a Point
7 Simple Phrases That Make a Point

Broker-Dealers

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Raymond James Adds 3 Teams With $1.8B
Raymond James Adds 3 Teams With $1.8B
Cetera to Commonwealth Advisors: We Know You’re Not Happy
Cetera to Commonwealth Advisors: We Know You’re Not Happy
The No. 1 Thing Advisors Want When They Switch Firms
The No. 1 Thing Advisors Want When They Switch Firms
Osaic CEO: New Advisor Tech Tools 'Will Blow Your Mind'
Osaic CEO: New Advisor Tech Tools 'Will Blow Your Mind'

Wirehouse Firms

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Wells Fargo’s Asset Cap Lifted by Fed
Wells Fargo’s Asset Cap Lifted by Fed
Goldman, Morgan Stanley and JPMorgan Laying Off Staff in June
Goldman, Morgan Stanley and JPMorgan Laying Off Staff in June
Merrill Picks Up 6 Advisors From Rival Wirehouses
Merrill Picks Up 6 Advisors From Rival Wirehouses
At Morgan Stanley, This Ex-Teacher Schools the Heirs of Ultra-Wealthy Clients
At Morgan Stanley, This Ex-Teacher Schools the Heirs of Ultra-Wealthy Clients

Switching Firms

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Raymond James Adds 3 Teams With $1.8B
Raymond James Adds 3 Teams With $1.8B
Atlanta Advisors With $2.6B Launch RIA With Dynasty
Atlanta Advisors With $2.6B Launch RIA With Dynasty
Edelman Financial Engines Lures New President From Capital Group
Edelman Financial Engines Lures New President From Capital Group
The No. 1 Thing Advisors Want When They Switch Firms
The No. 1 Thing Advisors Want When They Switch Firms

Women in Wealth

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Trouble in Margaritaville: 7 Reasons Estate Plans Go Awry
Trouble in Margaritaville: 7 Reasons Estate Plans Go Awry
Will Longevity Disrupt Traditional Retirement?
Will Longevity Disrupt Traditional Retirement?
How to Build Financial Plans for LGBTQ+ Clients
How to Build Financial Plans for LGBTQ+ Clients
Why This Ex-Wirehouse and Bank Advisor Prefers the RIA Space
Why This Ex-Wirehouse and Bank Advisor Prefers the RIA Space

Mergers & Acquisitions

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Osaic Buys $13.5B Boston-Based RIA 
Osaic Buys $13.5B Boston-Based RIA 
Cetera to Commonwealth Advisors: We Know You’re Not Happy
Cetera to Commonwealth Advisors: We Know You’re Not Happy
Atlanta Advisors With $2.6B Launch RIA With Dynasty
Atlanta Advisors With $2.6B Launch RIA With Dynasty
Bluespring Merges Two Wealth Management Shops in Texas
Bluespring Merges Two Wealth Management Shops in Texas

Clearing & Custodial Firms

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Robinhood Is a 'Prime Candidate' for S&P 500 Addition: BofA
Robinhood Is a 'Prime Candidate' for S&P 500 Addition: BofA
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