Osaic

Independent branches are playing a pivotal role in the industry — regardless of anyone's opinion or awareness of them.

The pair of financial planners launched an RIA and switched brokerages in search of an "entrepreneurial, boutique experience" to power their growth.

The agency views the capital providers as a governance risk, and it says there are industrywide social concerns about enforcement cases and cybersecurity.

CEO Jamie Price and other senior executives revealed the name of the firm that will be home to its current network of eight separate brokerages.

Moody's upgraded the firm's debt rating, but rivals are likely to pounce if service from the corporate office deteriorates during a complex and lengthy transition.

CEO Jamie Price pledged that the consolidation would not prompt "a repapering event" and the firm will work to make the transition as easy as possible.

CEO Jamie Price's team is considering a range of potential strategies that could represent significant changes to the private equity-backed firm.

Nathan Stibbs will be the midsize independent firm's first director of corporate strategy after it picked up more than a dozen teams in 2022.

A financial advisor from rival Cambridge Investment Research sought more than $1 million based on his claim that an OSJ at Royal Alliance broke the firm's rules.

The group of 70 financial advisors left Advisor Group's Securities America to focus on expansion with the help of a rival to its prior firm.

Advisor Group surpassed LPL at the top of the list, but consolidation, complexity and change remained the key themes in a highly competitive channel in 2022.

Advisor Group, Ameriprise, Cetera, Commonwealth, LPL and Raymond James are getting bigger and streamlining a crowded field of business as they go.

Securities America has paid more than $15 million in an SEC case and settlements with the fraud victims of Hector May and his daughter, Vania May Bell.

An innovative hybrid firm's new brokerage displays how the industry is placing advisory business at the center of its well-financed plans for the future.

These are the largest firms with financial advisors who work with broker-dealers but aren't their employees.

An ex-Woodbury Financial advisor faces 10 felony counts as the industry and regulators keep working on getting better at detecting and preventing scams.

Two Securities America brokers and their firm must pay the large award after a case that leaves many unanswered questions.

The private equity-backed firm and other giants of the industry are deploying their capital across new and existing lines of business.

A giant wealth manager is expanding its reach in a rapidly consolidating channel of the industry that simultaneously needs to hire a lot more financial advisors.

The enterprise left Kestra for Triad Advisors as part of the largest recruiting addition to the independent wealth manager in years.