Independent BDs

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.

"Given all of the turmoil there, you need to have some consistency in leadership and [Roth] was it," one expert says.

Is Roth on his way out?

See which independent broker-dealer boasts a compliance staff of more than 500, and which top firms have fewer than 100.

These investment advisories paid the price for passing along performance data faked by a third-party manager.

To help identify fraudulent advertising , advisers will be required to create and maintain documents that demonstrate performance calculations or returns.