Independent BDs

Founded by former wirehouse advisers, XML Financial is the seventh firm to join the IPO-bound RIA aggregator this year.

Relura Horton, former regional managing director at Fidelity Custody and Clearing, hopes to attract more women clients to her new firm.

See which independent broker-dealers are beating their larger competitors in attracting new client assets.

After being jilted by the nation’s largest IBD, the organization breaks new ground with membership additions.

Insurance industry giant targets RIA market via fee-based annuities.

Three advisers opened a new office for the independent firm, which is affiliated with Raymond James.

Turn these major fears into motivators for pursuing greater success, says Scott Collins, director of brokerage independence at TD Ameritrade Institutional.

Turn these major fears into motivators for pursuing greater success.

The recruits left rival firms such as UBS and J.P. Morgan to join existing practices at the independent broker-dealer.

The Institute for the Fiduciary Standard says the SEC and CFP Board have failed to define true client-first service. It aims to fill that gap with a new list.

On-demand, highly specialized and competitively priced: If it works for car sharing, why not for financial services?

Sales agents and advisers interact very differently with clients, columnist Bob Veres says. Here's how to tell which category applies to you.

Only 18% of RIAs refrain from these key conflicts of interest, a new study by the Institute for the Fiduciary Standard found.

Lincoln Investment will gain 350 advisers in its acquisition, which CEO Ed Forst foresaw 20 years ago.

See which independent broker-dealers are managing the biggest asset base for client accounts.

Should advisers opt for better platform options or losing back-office and administrative tasks?

Should advisers opt for better platform options or losing back-office and administrative tasks?

The public has a right to review the board’s documents, husband-and-wife planners Jeffrey and Kimberly Camarda say.

Decision expected in appeal of case brought by advisers the board says called themselves fee-only inappropriately.

These independent broker-dealers generated the most revenue from commission-based accounts.