Independent BDs

The proposal, which would allow more consumers to join class-action lawsuits over disputes, could drive up compliance costs. Agency director Richard Cordray wants more accountability.

The move broadens its line of digital advice offerings to better serve a variety of clients, says Pershing Advisor Solutions CEO Mark Tibergien.

The recruits moved to the independent side of Wells Fargo.

Paradigm specializes in retirement income planning and serves a significant client base of professional athletes.

Sure, major firms offer exit advice to their advisers, but there’s only so much they can do. Here’s how planners can take the next step on their own.

Despite a challenging operating environment, the broker-dealer’s earnings soar from the previous quarter.

Financial planners moving to new jobs are jumping less hurdles and increasing AUM, a new study says.

Firms must invest in digital capabilities, says A.T. Kearney's Uday Singh, but they need to balance that evolution to allow for the human touch to remain in a central role.

The firm and industry leaders expect small brokerages to struggle with higher costs, creating recruitment opportunities.

This interactive tool gives you the ability to evaluate independent broker-dealers.

Raymond James CEO Paul Reilly says firms face higher compliance costs under the rule.

Client assets also rose 3% at the fast-growing firm, which reported quarterly earnings on Wednesday.

Advisors can get a helpful best-practices checklist, which may also help build client relationships, from the Institute for the Fiduciary Standard.

Voices: The DoL is restricting investor choice and casts an unnecessarily critical light on existing B-D relationships that only follow a suitability requirement.

The addition of the country's largest IBD network demonstrates how much value BlackRock has created from its $152 million deal for Silicon Valley-startup FutureAdvisor last August.

To get a head start on the new rules, Janus Capital’s Matt Sommer suggests these smart moves.

Exclusive: Top Labor official says, “If we think there is some continued abuse that hasn't been adequately addressed, we'll figure out what to do."

“A great win for the middle class," a proponent says, as others note the changes already occurring at planning firms.

Voices: The fiduciary rule is not complicated. If you don’t want the responsibility of being an advisor, don’t call yourself an advisor or imply you are one.

Private equity firm gets in advice business as another insurance company gets out.