Independent BDs

Voices: Mariner Wealth's Brian Leitner says there are key steps to take to ensure your practice actually benefits from the new (and costly) tech tools you want to implement.

Filing expected Sunday; advisors expected to receive distributions through retention packages.

After an abrupt exit from industry, Brown returns and reveals plans for the country's largest woman-run IBD, along with Lightyear's Donald Marron and Advisor Group's Erica McGinnis.

Depending on what is permissible under the Labor Department's forthcoming rule, "there will have to be adjustments on the part of the advisor and on the part of the firm," CEO Jim Cracchiolo says.

Regulator’s surveillance director says watchdog would review broker-dealers who implement automated advice, to determine if they properly assessed client risk tolerance.

Former Merrill Lynch advisors launch a new office with IHT Wealth Management.

To protect themselves from the industry self-regulator's scrutiny of these products, firms should take these actions.

After only two months in the role, Roth is being replaced by a restructuring specialist. RCS recently said it would file for bankruptcy.

CEO Paul Reilly said the fast growing firm's pretax income for its Private Client Group fell 25% year-over-year, and said market volatility was creating headwinds. Yet advisor ranks have climbed to record high.

In its second acquisition in a year, EP Wealth lands woman-owned RIA on its way to its growth target of $5 billion in AUM.

Voices: Mariner Wealth's Brian Leitner says it's okay to be anxious about technology. "It means you're paying attention to the forces that are driving the future of our business."

The independent firm founded by several former wirehouse managers picked up two recruits who generated $1.5 million in annual production.

After his roller coaster ride with troubled RCS Capital-owned Cetera Financial Group, Steve Dunlap returns to his entrepreneurial roots.

The largest independent firms to make the cut.

Marcato Capital has sold more than 1.6M shares so far in January, according to an SEC filing.

After being burned by a now-barred advisor's $2 million Ponzi scheme, an ex-client is seeking redress from the advisor's former employer.

A yearly salary and a clear career path are some of the most vital ingredients necessary to attract and keep new entrants, according to a study by Fidelity.

Beleaguered RCS Capital to give details of an advisor retention plan by Jan. 8

Stockholders lose out, bondholders to control company.

Four scenarios are possible. Here’s the most likely.