Independent BDs

Advisor Headcounts Rise After Years of Decline
The total number of advisors across the industry rose 1.1% in 2014, according to a report from Cerulli Associates. But the research firm warns they may fall again in years to come.
"Buyers are placing high strategic value on technology innovation," says David Selig, CEO of Advice Dynamics Partners. Read More »
Reflecting RCS' ongoing woes, the company made the Roth announcement in the fourth paragraph of a press release announcing disappointing third quarter earnings results. Read More »
Four advisors made the switch from Wells Fargo's independent broker-dealer to Raymond James Financial Services. Read More »
The independent firm affiliated with Raymond James picks up two recruits who made the jump in separate moves from Oppenheimer. Read More »
In a blow for RCS Capital, AR Capital and Apollo Global Management terminate a deal to buy the bulk of real estate investor Nicholas Schorsch’s holdings. Read More »
United Capital anticipates adding $1.5 billion in assets in buying Select Financial Group and PSA Insurance & Financial Services. Read More »
Advisors gasped when they heard that the proposal requires firms to have a website revealing information previously considered confidential. Read More »
Brown Wealth Management Group, a former Wells Fargo-affiliated independent advisory firm, will focus on high-net-worth clients at LPL. Read More »
The fiduciary rule would significantly change how advisors are compensated and is part of a global trend to increase investor protection, researchers say. Read More »
The languishing performance of LPL shares has drawn the attention of activist investor Richard McGuire, whose hedge fund, Marcato Capital, has taken a 6.3% stake in the IBD. Read More »
Ron Kruszewski talks with On Wall Street about Stifel’s recent acquisitions and why there has been some advisor attrition at Barclays' U.S. brokerage unit ahead of its acquisition by Stifel. Read More »
Edward Jones and four other firms were sanctioned by FINRA for overcharging some clients on mutual fund sales. Read More »
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