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

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Webcasts

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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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Preparing Portfolios for 2025: Macro Outlook, Bond Strategies and ETF Trends

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Podcasts

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Bogart Wealth Uses Education to Develop a New Generation of Advisors

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When Disaster Strikes

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The Retirement Revolution with Mike Lynch

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Advisors

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Advisors Want Seamless Digital Experience With Asset Managers: J.D. Power
Advisors Want Seamless Digital Experience With Asset Managers: J.D. Power
5 Strategies for Capturing Wealthy Clients
5 Strategies for Capturing Wealthy Clients
What's at Stake in the Ameriprise-LPL Fight Over Client Data
What's at Stake in the Ameriprise-LPL Fight Over Client Data
Should Clients Change Advisors When They Retire?
Should Clients Change Advisors When They Retire?

RIAs

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Schwab to Consider More Deals
Schwab to Consider More Deals
Mercer Adds Nearly $1.7B in Assets via Two Deals
Mercer Adds Nearly $1.7B in Assets via Two Deals
October Broke RIA Deal Record: DeVoe
October Broke RIA Deal Record: DeVoe
Ex-Merrill Wealth Chief Launches RIA
Ex-Merrill Wealth Chief Launches RIA

Broker-Dealers

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LPL Begins Taking in $60B in Prudential Wealth Advisor Assets
LPL Begins Taking in $60B in Prudential Wealth Advisor Assets
Osaic Failed to Supervise Trading in Dead Client's Account: FINRA
Osaic Failed to Supervise Trading in Dead Client's Account: FINRA
Cetera Financial Group CEO to Retire
Cetera Financial Group CEO to Retire
What's at Stake in the Ameriprise-LPL Fight Over Client Data
What's at Stake in the Ameriprise-LPL Fight Over Client Data

Wirehouse Firms

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11 Best & Worst BDs: Q3 Earnings, 2024
11 Best & Worst BDs: Q3 Earnings, 2024
Morgan Stanley Dealt Blow in Deferred Comp Clawback Lawsuit
Morgan Stanley Dealt Blow in Deferred Comp Clawback Lawsuit
Goldman, JPMorgan Soar With Trump Poised to Deliver Deregulation
Goldman, JPMorgan Soar With Trump Poised to Deliver Deregulation
Morgan Stanley to Pay $1M Over Lack of Risk Controls
Morgan Stanley to Pay $1M Over Lack of Risk Controls

Switching Firms

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Citi Taps BlackRock Portfolio Manager to Be Wealth Unit's CIO
Citi Taps BlackRock Portfolio Manager to Be Wealth Unit's CIO
What's at Stake in the Ameriprise-LPL Fight Over Client Data
What's at Stake in the Ameriprise-LPL Fight Over Client Data
Ex-JPMorgan Advisor to Halt Client Poaching Amid Arbitration
Ex-JPMorgan Advisor to Halt Client Poaching Amid Arbitration
Raymond James Tops Estimates, Adds 75 Reps in Latest Quarter
Raymond James Tops Estimates, Adds 75 Reps in Latest Quarter

Women in Wealth

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12 Richest Americans in Sports: Forbes
12 Richest Americans in Sports: Forbes
What Trump's Win Means for the Markets: 3 VIP Views
What Trump's Win Means for the Markets: 3 VIP Views
5 Strategies for Capturing Wealthy Clients
5 Strategies for Capturing Wealthy Clients
How to Close Fintech's Gender Gap
How to Close Fintech's Gender Gap

Mergers & Acquisitions

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Mariner Adds $878M in AUM With Two Acquisitions
Mariner Adds $878M in AUM With Two Acquisitions
The Evolution of Advisor M&A Deals: What to Know Now
The Evolution of Advisor M&A Deals: What to Know Now
Bain Capital Closes Envestnet Acquisition for $4.5B
Bain Capital Closes Envestnet Acquisition for $4.5B
Captrust Buys $5B RIA Based in Boston
Captrust Buys $5B RIA Based in Boston

Clearing & Custodial Firms

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Schwab Eyes Spot Crypto Trading Once Regulations Change
Schwab Eyes Spot Crypto Trading Once Regulations Change
Schwab Reviewing Advisor Network Referral Fees
Schwab Reviewing Advisor Network Referral Fees
Robinhood to Buy TradePMR for $300M in RIA Push
Robinhood to Buy TradePMR for $300M in RIA Push
Schwab Launching Mortgage-Backed Securities ETF
Schwab Launching Mortgage-Backed Securities ETF