Independent BDs

The new recruits include a father-and-son duo in Orlando.

The independent broker-dealer has launched subsidiary Bluespring Wealth Partners, which promptly snapped up two practices with $550 million in client assets.

Sounds simple in theory, but when it comes to naming an RIA there are plenty of options to consider.

The IBD trade group launched a public campaign after more than 80 cases this year alleging inadequate disclosure of mutual fund fees and compensation.

The firm’s director of technology and client engagement discusses chatbots, predictive analytic tools and what else is up next for advisors.

The IBD failed to adequately disclose conflicts of interest to clients related to receiving $10.8 million from mutual funds and its clearing broker, the SEC says.

The insurer lost four prominent female executives earlier this year in departures CEO John Schlifske called “a step backward.”

At her new OSJ, Laura LaTourette is teaming up with fellow influential planner Marci Bair to help educate allies and create more avenues for reps to meet.

The firm added an experienced advisor from Wells Fargo after recruiting 72 other tenured reps in the second quarter.

The two advisors affiliated with a new IBD after one of the largest PE-backed M&A deals of the year closed.

CEO Jamie Price unveiled a three-part “advisor appreciation program” after Reverence Capital closed on a majority stake of the IBD network.

President Adam Antoniades cites record expansion for the year, but the IBD network faces challenges related to recruiting and debt levels.

Bleakley Financial has recruited advisors with $750 million in client assets since January 2018 alongside LPL’s substantial recent grabs.

The new recruits come from Merrill Lynch and Stifel, with $165 million in total client assets.

Newday’s tools include content centered around clients’ issues of focus and, soon, a corn-based compostable debit card.

The firm has made formal hiring offers totaling approximately $214 million as of June 30.

Critics reject the notion that disclosure alone is sufficient for reigning in conflicts — but the charges against Commonwealth have put BDs on notice.

HD Vest's parent displayed the growth coming from the acquisition of its former rival.

A barred and terminated former Securities America advisor’s conduct was “appalling, reprehensible and evil,” according to a federal judge.

One team wanted more flexibility and time to manage their clients’ financial needs.