Independent BDs

The husband-and-wife team say their new employer reminded them of their first firm, Smith Barney.

Derek Burke discussed the Advisor Group firm’s upcoming digital offering and his top priorities.

The regional firm's new hires joined from FSC Securities, Morgan Stanley and Wells Fargo.

An internal memo shows tight deadlines for half the brokers the IBD hopes to retain after the deal.

Beefed-up market research will help the firm’s advisors, says President Adam Antoniades.

Bill Morrissey, who is leading the effort, described the firm's rapid, multipronged approach.

Mounting regulatory concerns and technology pressures have left advisors looking for outside help, new research shows.

Private equity-backed parent Advisor Group made the shakeup at a challenging time for IBDs.

The move previews what will be a tough recruiting fight for the IBD giant following its massive buy.

Advocates call for the commission to address investor confusion.

The hurricane poses staffing and data challenges on firms with large facilities in its path.

The big custodian chose a 35-year company veteran to take over the long-vacant position.

Contrary to industry chatter, the new standards will likely benefit advisors working with actively managed funds, Michael Kitces writes.

Experts say such cases are commonly filed by advisors yet difficult to win.

One advisor says the fiduciary rule prompted the latest wirehouse exit to an RIA.

The number of annual new SEC registrations has jumped by 150% since 2000.

Experts say firms that clear through Pershing have an advantage in the looming recruiting fight.

The firm and fellow regionals continue to take advantage of hiring cutbacks at wirehouses.

Payouts from advisory firms have reached nearly $80 million as the regulator targets excess fees.

Regulations can take a long time to reverse.