Corporate governance

The No. 1 IBD’s top recruiting executive announced his retirement after the firm disclosed some mixed recent results.

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Royal Alliance Associates will absorb the firm following the deal, which would push the network’s headcount above 6,800 advisors.

The firm’s principal says his team wanted to join the No. 1 IBD, which is testing larger recruiting offers.

Affluent clients have "a fairly low awareness of fees," according to new report.

The firm aligned its brokerage business with Private Client Services following a big acquisition and a major executive hiring.

A public offering will be a landmark for the advisory business. But the aggregator will face unprecedented scrutiny from investors.

The clearing and custody firm also announced $50 million in new investments to fuel its advisory business.

The definition of independence for advisors is changing, according to a new report.

The No. 7 IBD has unveiled five new internal classifications for practices in an effort, it says, to boost the customization of its services for advisors.

At least seven firms with outside RIAs have left the No. 1 IBD since it announced a change in policies last November.

EP Wealth Advisors' acquisition of Donnelly Wealth Advisors will boost its AUM by more than $400 million.

Shifts in the annual ranking of the nation's independent broker-dealers show how pressure on IBDs is intensifying.

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The asset manager is expected to make the payout after it finalizes the sale of its insurance unit to Phoenix Group.

The aggregator has filed with the SEC, and the aftermath of an offering will be closely watched.

As the first woman executive at Carson Group, Teri Shepherd made it a priority to increase the number of women advisors at the firm.

The firm’s asset management arm, along with Franklin Templeton, supplied Remington with a $100 million loan to carry it out of the Chapter 11 process.

As head of the Fiduciary Trust’s New York division, Paulina Mejia in charge of growing the firm’s private wealth business in the region.