Independent BDs

Experts cite a variety of reasons for the industry’s grim jobs forecast for advisors, but the data reveals much more complexity.

The No. 1 independent broker-dealer has grown beyond the wirehouses, but it added about 100 fewer advisors than expected from its major acquisition.

The former Oppenheimer client was allowed to invest in a new fund started by Carter Worth, a well-respected technical analyst who the client believed “walked on water,” his lawyer claimed.

J.D. Power’s annual survey reveals the importance of leadership and culture, along with differences among male and female representatives.

A FINRA arbitration claim followed an asset freeze and the launch of a federal investigation into the fired advisor’s RIA.

Can an RIA take the first bite of the apple when it comes to a dually registered rep’s brokerage commissions?

The move to acquire the No. 16 firm from John Hancock reflects the acceleration of industry trends and a potential giant in the making.

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

The insurance giant and No. 6 IBD made Alexa Von Tobel its chief innovation officer following the closure of the planning startup it acquired in 2015.

While the demise of the Department of Labor’s regulation will hurt investors, it makes fiduciary advisors even more relevant.