Independent BDs

Marketing and sales strategies are better received when firms provide information advisers are actually seeking.

The engine of future growth for the top independent broker-dealers is likely to be fees.

Concerns about management dragged down job satisfaction ratings in J.D. Power’s annual survey.

His move is also something of a reunion, as Steward Partners CEO Jim Gold once served as his manager at Smith Barney.

The magnate's fallen empire included RCS Capital, the onetime parent of Cetera Financial Group.

Concerns with the fiduciary rule, compensation and leadership pushed down satisfaction ratings.

None of the FP50 are close to equalizing their ranks of men and women.

Implementation of fiduciary rule could drive more IBDs to seek safe harbor with large partners.

Planners using the latest digital tools report higher AUM than their colleagues, Fidelity says.

Advisers face fewer choices for clients as both the rule and SEC enforcement roil the market.

Even as the board seeks stricter fiduciary rules, there are concerns about loopholes on conflicts and commissions.

The new recruits, who previously worked at Wells Fargo Advisors and Janney Montgomery Scott, also pointed to the firm's affiliation with Raymond James in making the move.

Although revenue fell for the FP50, most firms upped their AUM.

Here's what smaller firms hoping to get out of the broker-dealer business need to know.

Wirehouses, broker-dealers and banks unveiled client-friendly policies while asking the agency for further delays.

Facial recognition software is more efficient and accurate than any questionnaire, says the IBD's chief executive, Robert Moore.

These firms reported the highest share of accounts topping $100,000.

The challenges of new regulations may actually allow independent firms to grow and thrive—particularly those which embrace these four advice-centric features.

Revenues have slumped, but what’s rising may be a better indicator of the years ahead.

A clear path has emerged after historic revenue drops among the top independent broker-dealers.