Independent BDs

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.

The regional broker-dealer adds another team to its roster while wirehouses continue to scale back on recruiting.

The IBD aims to be a 17,000-strong firm, but not every advisor will want to join up, experts warn.

The nation’s largest broker-dealer must convince thousands of NPH advisors to make the transition.

The firms had the same parent, but Girard Securities’ CEO says the move will help its 200 advisors.

The nation’s largest IBD paid $325 million, but it may spend as much as $508 million in the deal.

Quietly, Invesco's robo advisor has scored IBD and brokerage clients.

Securities America adds 10 advisors in the second recent poach by a Ladenburg Thalmann firm.

The company spent $77 million on technology last year, but difficult changes lie ahead.

The Northeast prevails, but there's a surprise in the rankings revealed by this interactive infographic.

In addition to redesigning its business lines, the $48 billion firm is considering a robo, the president of its broker-dealer said.