Independent BDs

Two firms were fined over $100,000 for not disclosing nearly $5M in loans to clients.

Firms and brokers would contribute to a pool to compensate investors who were defrauded but are unable to collect, according to one recommendation.

The digital platform added $1.6 billion from the first quarter.

After predicting a strong recruiting year, Wells' independent advisory arm attracts planners from LPL Financial, UBS and U.S. Bank.

Two advisers joined Confluence Financial Partners, which is affiliated with Raymond James.

The IBD's top technologist's question for firms seeking upgrades: Are you sure you understand how you want to go to market?

The two ex-wirehouse advisers each had about 20 years of industry experience.

The four new recruits moved to Raymond James’ independent broker-dealer.

See which independent broker-dealer reported over 31% payout growth, plus dive into the average payout for the top 10.

A new partnership between ex-wirehouse advisors and a retirement plan consultant will use "gratitude boards" to focus discussions on important issues in clients' lives.

Market volatility and industry changes have had a chilling effect on advisers' career plans.

The largest teams to go indie this year managed more than $5 billion in client assets.

Backed by the considerable resources of Manulife Financial, Hancock wants to be a player in an altered IBD marketplace.

Steps firms can take to better serve advisers and become industry leaders.

Automated advice can provide efficiency, but it is not going to be for every adviser, says LPL's chief information officer, Victor Fetter.

The firm bought the unit, which has over 600 advisers, as part of a $150 million acquisition deal to boost its overall broker ranks.

It’s time for professional planners, as opposed to sales agents, to define themselves accurately in the public mind. To do it, you need to use key words and phrases with crystal clarity.

LPL touts its size and scale as a plus to attract advisors, but the company's heft can also work against it, consultants say.

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

Former Edward Jones advisor says he left for the freedom to own and market his own eponymous firm as he wishes.