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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Starting an RIA with Confidence: What You Need to Know to Launch Smart

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Understanding Registered Index-Linked Annuities: Balancing Growth and Protection in Today’s Market

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How Leading Firms Are Deploying AI Without Compliance Risk

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Podcasts

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Safe Money Matters with Brad Pistole

 ThinkAdvisor, sponsored by Jackson National Life Insurance Company Listen Now

Succession Planning Success with Debbie Taylor

 ThinkAdvisor, sponsored by Jackson National Life Insurance Company Listen Now

Understanding the Retirement Revolution

 ThinkAdvisor, sponsored by Jackson National Life Insurance Company Listen Now

Advisors

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Trade Groups Rally Against New Jersey Indie Contractor Rule
Trade Groups Rally Against New Jersey Indie Contractor Rule
Final Days to Nominate for the 2025 Luminaries Awards
Final Days to Nominate for the 2025 Luminaries Awards
Ex-Merrill Broker Faces Disciplinary Process Tied to Trading, Sales Practices
Ex-Merrill Broker Faces Disciplinary Process Tied to Trading, Sales Practices
Fidelity Brokerage Says Former VP Took Client Info
Fidelity Brokerage Says Former VP Took Client Info

RIAs

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Larry Roth, Fellow Industry Vets Launch 'Elite Consultancy' Network
Larry Roth, Fellow Industry Vets Launch 'Elite Consultancy' Network
12 States With the Most RIAs Registered Outside the U.S.
12 States With the Most RIAs Registered Outside the U.S.
Mariner, Other Firms Agree to $25.5M Class Action Settlement
Mariner, Other Firms Agree to $25.5M Class Action Settlement
AssetMark Moves to Expand Growth With RIAs, Private Markets
AssetMark Moves to Expand Growth With RIAs, Private Markets

Broker-Dealers

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LPL Taps Former McKinsey Partner as Chief People Officer
LPL Taps Former McKinsey Partner as Chief People Officer
LPL Says It's on Target for 90% Retention as It Closes Commonwealth Deal
LPL Says It's on Target for 90% Retention as It Closes Commonwealth Deal
Eagles Team Up with Janney
Eagles Team Up with Janney
LPL Underpaid Employees, Lawsuit Claims
LPL Underpaid Employees, Lawsuit Claims

Wirehouse Firms

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Ex-Merrill Broker Faces Disciplinary Process Tied to Trading, Sales Practices
Ex-Merrill Broker Faces Disciplinary Process Tied to Trading, Sales Practices
4 Years After BofA Exec's Killing, Ex-Banker Charged With Her Murder Stands Trial
4 Years After BofA Exec's Killing, Ex-Banker Charged With Her Murder Stands Trial
Why Good Advisors Stay Too Long
Why Good Advisors Stay Too Long
UBS Posts Mixed Results, $23B in Wealth Inflows
UBS Posts Mixed Results, $23B in Wealth Inflows

Switching Firms

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Why Good Advisors Stay Too Long
Why Good Advisors Stay Too Long
LPL Says It's on Target for 90% Retention as It Closes Commonwealth Deal
LPL Says It's on Target for 90% Retention as It Closes Commonwealth Deal
Mercer Nabs $1.2B Raymond James Team in Florida
Mercer Nabs $1.2B Raymond James Team in Florida
Cutting Clients' Taxes Is a Must-Have Skill for Advisors: Cerulli
Cutting Clients' Taxes Is a Must-Have Skill for Advisors: Cerulli

Women in Wealth

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LPL Taps Former McKinsey Partner as Chief People Officer
LPL Taps Former McKinsey Partner as Chief People Officer
SEC Launches AI Task Force
SEC Launches AI Task Force
Lincoln Reports 32% Q2 RILA Sales Growth
Lincoln Reports 32% Q2 RILA Sales Growth
Carson Group Says Ex-CMO Altered Evidence in Lawsuit
Carson Group Says Ex-CMO Altered Evidence in Lawsuit

Mergers & Acquisitions

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Larry Roth, Fellow Industry Vets Launch 'Elite Consultancy' Network
Larry Roth, Fellow Industry Vets Launch 'Elite Consultancy' Network
Mercer Nabs $1.2B Raymond James Team in Florida
Mercer Nabs $1.2B Raymond James Team in Florida
FMG Suite Gets New Private Equity Owner in GTCR
FMG Suite Gets New Private Equity Owner in GTCR
PE Firms in Bidding Wars for Fast-Growing RIAs: Cerulli
PE Firms in Bidding Wars for Fast-Growing RIAs: Cerulli

Clearing & Custodial Firms

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Schwab Shares Rise on Strong Client Assets, Trading Updates
Schwab Shares Rise on Strong Client Assets, Trading Updates
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