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

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It’s Time to Talk Taxes With Sophia Duffy

 ThinkAdvisor, sponsored by Jackson National Life Insurance Company Listen Now

Busting Retirement Income Myths With Michael Finke

 ThinkAdvisor, sponsored by Jackson National Life Insurance Company Listen Now

The Entrepreneurial Mindset With Reed Colley

 ThinkAdvisor, sponsored by Jackson National Life Insurance Company Listen Now

Advisors

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Training Program for New Advisors Tops 2,000
Training Program for New Advisors Tops 2,000
Ex-Advisor Gets 8 Years for Bilking Clients, Widowed Aunt
Ex-Advisor Gets 8 Years for Bilking Clients, Widowed Aunt
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

RIAs

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Osaic Exec Disputes Details of Multibillion-Dollar AmeriFlex Split
Osaic Exec Disputes Details of Multibillion-Dollar AmeriFlex Split
EP Wealth Adds Exec From Captrust
EP Wealth Adds Exec From Captrust
$27B RIA Taps Edelman Financial Exec as CEO
$27B RIA Taps Edelman Financial Exec as CEO
SEC in Talks to Raise AUM Threshold for Advisor Registration
SEC in Talks to Raise AUM Threshold for Advisor Registration

Broker-Dealers

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Osaic Exec Disputes Details of Multibillion-Dollar AmeriFlex Split
Osaic Exec Disputes Details of Multibillion-Dollar AmeriFlex Split
Rep Fined, Suspended for Not Disclosing Outside Business Activity
Rep Fined, Suspended for Not Disclosing Outside Business Activity
Ex-LPL Advisor Suspended After Family Named as Client's Beneficiaries
Ex-LPL Advisor Suspended After Family Named as Client's Beneficiaries
$1.1B UBS Team Moves to RBC Wealth
$1.1B UBS Team Moves to RBC Wealth

Wirehouse Firms

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Wells Fargo to Cut Nearly 200 Jobs in North Carolina
Wells Fargo to Cut Nearly 200 Jobs in North Carolina
Trial Underway for Ex-Banker Charged With Murdering BofA Exec
Trial Underway for Ex-Banker Charged With Murdering BofA Exec
$1.1B UBS Team Moves to RBC Wealth
$1.1B UBS Team Moves to RBC Wealth
SEC Kicks Off Review of Rules Governing Executive Pay and Perks
SEC Kicks Off Review of Rules Governing Executive Pay and Perks

Switching Firms

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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

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State Street Global Advisors Has a New Name
State Street Global Advisors Has a New Name
EP Wealth Adds Exec From Captrust
EP Wealth Adds Exec From Captrust
13 Richest Self-Made Women in America: Forbes, 2025
13 Richest Self-Made Women in America: Forbes, 2025
Many Female Entrepreneurs Face a Financial Fitness Gap
Many Female Entrepreneurs Face a Financial Fitness Gap

Mergers & Acquisitions

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Public, Private or PE? Commonwealth Advisors (and Others) Have Decisions to Make
Public, Private or PE? Commonwealth Advisors (and Others) Have Decisions to Make
Envestnet to Sell Yodlee to PE Firm
Envestnet to Sell Yodlee to PE Firm
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

Clearing & Custodial Firms

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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