Independent BDs

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.

RCS Non-Executive Chairman Mark Auerbach says the decision to shut down its wholesale distribution business is "extremely difficult but necessary."

The total number of advisors across the industry rose 1.1% in 2014, according to a report from Cerulli Associates. But the research firm warns they may fall again in years to come.

"Buyers are placing high strategic value on technology innovation," says David Selig, CEO of Advice Dynamics Partners.

Create a "culture of inclusivity," drop old-world ways and give young planners a voice in your firm in order to recruit and keep them, two experts say.

Reflecting RCS' ongoing woes, the company made the Roth announcement in the fourth paragraph of a press release announcing disappointing third quarter earnings results.