Independent BDs

The firm says it has put regulatory fines in its rearview mirror, has invested in tech upgrades and has devoted resources to helping advisers adapt to the DoL fiduciary rule.

How many women advisers work for the leading independent broker-dealers?

The chief executive of Foothill Securities said he was motivated to look for a buyer for some assets because of rising compliance costs.

The platform provider has added an estimated $1 billion in assets in two months.

The new member of Cetera's executive committee is knee-deep in efforts to ready institutions and their advisers for the implementation of the new regulation.

In a rare interview, Andrew Ceresney reveals the commission's beefed-up efforts, and what advisers should know.

Profits and revenues are down for all but one of the brokerages.

After taking away CFPs' right to sue the board, it makes two concessions to critics. Still, the process points to governance problems at the board, Michael Kitces says.

The firm was "cut out" from an entire class of advisers, says CEO Alexandra Lebenthal.

Former Philadelphia Eagles player Merrill Robertson Jr. funded "luxurious" lifestyle with life savings of football coaches, complaint says.

See which independent broker-dealers generated the most revenue from fee-based accounts.

A Triad executive says the firm aims to work with more advisers who want to go independent but who need help dealing with increasing regulatory burdens.

Here’s a self-assessment exercise to help you determine where you are on the path to professionalism.

These firms grabbed the top spot when it came to rapid growth.

Uncertainty still surrounding the fiduciary rule is one reason why advisors say they are not committing to specific upgrades just yet.

Nascent partnership at largest female-run IBD ends as Erica McGinnis leaves top spot. Expect more heads to roll, one expert says.

See which independent broker-dealers have the highest revenue.

Also, Dynasty lured teams managing nearly $1 billion in client assets to independence.

The leading IBD cut a top consulting division that catered to its largest firms and set up potential conflict between groups of advisers: those in and out of OSJs.

The country's largest independent broker-dealer added 100 advisers in the second quarter.