Independent BDs

The new recruits signed on with the firm’s independent and employee broker-dealer units.

Evolution Financial Advisors has grown to 86 advisors with $2.6 billion in client assets under Securities America.

The No. 1 IBD also nominated a new board member and tapped key executives for advisor support and government relations.

The advisors are the newest additions to the firm’s expanding brokerage ranks.

Independent Financial Partners aspires to be a “very, very small agent for change.”

An advisor was terminated after accepting money from a brother, who was also a client. Is such a loan allowed?

The regional BD adds two teams with $373 million in assets.

In the first full year under Atria Wealth, the firm added programs from banks and credit unions with $7 billion in assets.

The firm is looking at a range of “different opportunities” for potential wealth management deals, CEO Jim Cracchiolo says.

The company hopes to recruit new advisors by taking a version of its home office tour on the road.

Increased captive insurance coverage due to expanded business in 2018 was a primary driver of a three-year high in regulatory spending, the firm says.

People familiar with the matter said that Centerbridge Partners is in talks to buy the four-firm, 6,500-advisor IBD network.

The advisors join from Merrill Lynch, Raymond James, U.S. Bancorp and Investment Professionals.

Blucora’s wealth management unit is transforming while showing some impressive results. But is the firm moving too fast?

The recruits joined from Merrill Lynch, Wells Fargo Advisors, SunTrust and Snowden Lane Partners.

The major employer-plan group had previously been affiliated with the predecessor of Global Retirement Partners.

The requirement is back in the spotlight as consumer advocates and business interests face off on proposal to outlaw this key provision of customer agreements.

The 7,500-advisor network agreed to buy certain assets of Foresters Financial’s U.S. BD and RIA.

An upcoming integration with AdvicePay marks the first step in a series of changes to recruiting and service at KMS under Erinn Ford.

Having ‘fessed up to improper 12b-1 fee disclosures, dually registered advisors might still be excluded by FINRA.