Independent BDs

As wealth management innovates, the ongoing trend is toward simplicity, transparency and greater value.

Life insurance and annuity sales are the elephant in the room when it comes to the fiduciary standard.

The firm's adviser headcount slipped 98 year-over-year.

The acquisition of IPI will add about $8 billion to the independent broker-dealer.

The broker’s written promise of 7% returns on a variable annuity made for a simple case, the lawyer for the claimant says.

The advisors left the wirehouse in a quarter that saw it lose 145 advisers.

The four advisers are the latest to bolt from Wells Fargo's Profit Formula platform.

At least 17 ex-wirehouse brokers bolted for the firm’s employee channel in the first quarter.

The settlement is the third major regulatory payment the BD has incurred in the past year. A branch manager associated with the Jay Peak case has also left the firm.

The group includes a father-daughter duo who have worked together for 25 years.

Older wirehouse advisers opting to go independent should keep these factors in mind if they want a richer exit from the business.

Which firms showed “meaningful progress” in improving client experience? And which one slipped?

HighTower and Dynasty added big platform clients as wirehouse brokers continued to flee.

At least 27 brokers have joined the firm, including a father-son team from UBS with $261 million in AUM.

The ex-Morgan Stanley advisers say their niche practice, which is geared toward women and divorcees, will be better supported by Raymond James' platform.

The firm also granted its new chief stock options worth $4.8 million following a debt refinancing.

Over 50 advisers have now joined the independent firm, which is affiliated with Raymond James.

The firm’s equity partner channel added five breakaway wirehouse teams last year and 64 since 2008.

The growing independent firm has recruited five ex-wirehouse planners since the start of the year.

Two of its Royal Alliance firms form a $2.5 billion powerhouse.