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

More Webcasts

How Leading Firms Are Deploying AI Without Compliance Risk

 Sponsored by Smarsh Watch Now

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

 Sponsored by Orion Watch Now

The Empathy Advantage: How Behavioral Finance is Reshaping Planning Conversations

 Sponsored by Orion Watch Now

Podcasts

More Podcasts

It’s Time to Talk Taxes With Sophia Duffy

 Jackson National Life Insurance (Sponsored) Listen Now

Busting Retirement Income Myths With Michael Finke

 Jackson National Life Insurance (Sponsored) Listen Now

The Entrepreneurial Mindset With Reed Colley

 Jackson National Life Insurance (Sponsored) Listen Now

Advisors

More Stories
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

More Stories
Elevation Point Stakes $2.5B Ex-UBS Team
Elevation Point Stakes $2.5B Ex-UBS Team
BNY Approached Northern Trust for Merger Talks: Report
BNY Approached Northern Trust for Merger Talks: Report
Wealth Consulting Group Taps Ex-LPL Exec as President
Wealth Consulting Group Taps Ex-LPL Exec as President
Mariner Nabs Integrated Partners Exec to Lead Indie Channel
Mariner Nabs Integrated Partners Exec to Lead Indie Channel

Broker-Dealers

More Stories
Wealth Consulting Group Taps Ex-LPL Exec as President
Wealth Consulting Group Taps Ex-LPL Exec as President
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

Wirehouse Firms

More Stories
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

More Stories
Advisors Sue Focus Financial Over 'Staggeringly Overbroad' Restrictions
Advisors Sue Focus Financial Over 'Staggeringly Overbroad' Restrictions
Get Started on Your Journey to Independence
Get Started on Your Journey to Independence
Wealth Consulting Group Taps Ex-LPL Exec as President
Wealth Consulting Group Taps Ex-LPL Exec as President
Raymond James Adds 3 Teams With $1.8B
Raymond James Adds 3 Teams With $1.8B

Women in Wealth

More Stories
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

More Stories
Elevation Point Stakes $2.5B Ex-UBS Team
Elevation Point Stakes $2.5B Ex-UBS Team
BNY Approached Northern Trust for Merger Talks: Report
BNY Approached Northern Trust for Merger Talks: Report
Mariner Nabs Integrated Partners Exec to Lead Indie Channel
Mariner Nabs Integrated Partners Exec to Lead Indie Channel
Osaic Buys $13.5B Boston-Based RIA 
Osaic Buys $13.5B Boston-Based RIA 

Clearing & Custodial Firms

More Stories
Northern Trust Commits to Staying Independent After BNY Approach
Northern Trust Commits to Staying Independent After BNY Approach
BNY Approached Northern Trust for Merger Talks: Report
BNY Approached Northern Trust for Merger Talks: Report
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