Independent advisors

Enforcement actions against IAs and reps at the state level soar in 2017, according to NASAA report.

The practice transitioned in a week in which 15 advisors joined their new firm in three separate moves.

The No. 7 IBD expects such moves by advisors to increase in coming years, so it's ramping up offerings aimed at fee-only services.

Although these firms provide the RIA industry a lot of support, they could be doing more.

Even planners need a little extra help sometimes.

While the No. 1 IBD has retained a significant portion of the hybrid RIA’s advisors, its founder says the firm has major outside recruiting opportunities.

Charged with leading the firm’s recruiting and sales strategy, Scott Posner will report to the recent successor to Bill Morrissey, who left the firm last month.

While the IBD advocacy organization supports the proposal’s approach, key questions loom over the timeline and makeup of the potential regulation.

The practice is at least the second this year to jump from the Advisor Group firm to its similarly sized rival.