Independent BDs

Updated Saturday, May 18, 2013 as of 7:41 AM ET

Industry - Independent BDs

Securities America Fires Latest Salvo in Talent War

The talent war is heating up.

Securities America fired the latest salvo, adding a new national director of recruiting and expanding its branch office development staff. more »

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Mutual Fund Asset Growth: IBDs, RIAs Outpace Wirehouses

Independent broker-dealers and RIAs have the edge over wirehouses when it comes to adding mutual fund assets under management, according to Access Data and Strategic Insight. more »

LPL Adds Florida Advisory Team

LPL Financial added Ingham Retirement Group to its broker-dealer and RIA custodial platforms. more »

Dynasty Partners With Canadian Wealth Manager

Dynasty Financial Partners is crossing the border and headed north. more »

Wells Fargo Advisor Network Adds 2 Seattle-Area Practices

The practices, in Mercer Island, Wash., and Lynnwood, Wash., have a combined $549 million in assets under management. more »

LPL Near $1 Billion in Net Quarterly Revenue

For the first time in the fast-growing company’s history, LPL has posted nearly $1 billion dollars in net quarterly revenue. more »

Raymond James Poised for Earnings Growth After 2Q

Revenue and assets increased year-over-year as the firm began to streamline operations after the Morgan Keegan integration in February. more »

Building Ameriprise’s Value Proposition

The president of Ameriprise Financial’s Personal Advisor Group lays out his firm’s plan to attract and retain advisors. more »

7 Ways to Go Independent

In 2011, 44% of brokers who left wirehouses landed at independent firms, but every broker has an array of options when it comes to independence. more »

Raymond James Chief IDs Top Priorities

Previewing an address Thursday that he's set to deliver to the 1,600 advisors attending the firm's annual conference, CEO Paul Reilly said that Raymond James Financial will continue to have “a big focus” on technology and training going forward. He also discusses how acquisition may (or may not) factor into the company's agenda. more »

Succession Planning, Regulation, Technology Top Raymond James Agenda

Succession planning, regulatory and technological issues will be the main focus for Raymond James Financial Services over the next year, according to Scott Curtis, the firm's president. more »

Commonwealth Deploys Emergency Plan in Boston Lockdown

Hundreds of employees of the country’s fourth-largest independent broker-dealer were directed to head to the firm’s emergency backup office outside of Boston Friday morning as law enforcement officials announced a citywide lockdown. more »

Capital Investment Acquires North Carolina Wealth Manager

IronGate, the largest independent wealth advisory firms in Wilmington N.C., opened its doors in 2005, and has a team of 14 advisors managing $200 million in assets. more »

United Capital's 'Starbucks Strategy'

Joe Duran wants United Capital to get Venti by tactically training advisors so the experience a client receives at a United Capital office in Cleveland is the same as the experience they'd receive in New Jersey. In the second of a two-part interview, Duran explains how this can work in an advisory industry that prides itself on unique approaches. Check out Part One, UUnited Capital’s Aggressive Growth Plan more »

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