Independent BDs

Pershing CIO Ram Nagappan offers a framework to help advisors think about how to transform their businesses to digital.

From starting an RIA to joining an independent broker-dealer, there are myriad options for advisors seeking to go independent.

More than two-thirds of brokerage and RIA executives say there aren't enough young advisors to go around, according to a Fidelity survey.

How to help women in junior roles take the steps to become successful independent advisors.

Choosing a broker-dealer and/or a custodian is one of the most important decisions for advisors going independent. Here are five questions for each choice.

See which independent broker-dealers reported over 20% payout growth and what their average payout is.

Roll-up firm adds six advisors from the insurer and one more from Hutchinson Financial.

Financial Planning unveils its annual list of the industry's biggest independent broker-dealers.

The community bank says that LPL's compliance resources and technology were major factors in its decision.

There are some regulatory red flags that all advisors must pay attention to. But RIAs and brokers also face hurdles specific to their businesses when it comes to staying out of hot water.

The Braddock Group left the independent broker-dealer for the regional.

A federal grand jury has indicted a former broker with Securities America and Investors Security Company on 16 criminal counts ranging from wire fraud to money laundering.

Incomplete BrokerCheck reports give investors a false sense of security, critics say; Some Google searches do better.

Some of the independent B-Ds specialize in high-end clients with big accounts. See which firms reported the highest share of accounts topping $100,000 -- and what their total client assets are.

Some of the independent B-Ds specialize in high-end clients with big accounts. See which firms reported the highest share of accounts topping $100,000 -- and what their total client assets are.

A team formerly with Lincoln Financial Advisors will join an LPL-affiliated hybrid RIA.

Newly appointed CFO has 18 years of industry experience; replaces Dan Arnold.

A new set of players have shaken up the independent broker-dealer landscape, showing that there's more than one way to throw your weight around. See this year's top players.

While the biggest independent B-Ds have been fairly quiet, the deal-making has shifted to other players. See who's in focus now.

Alejandro Ariel Torres allegedly cheated a customer out of nearly $60,000 in a start-up scheme that purportedly made the client a 50/50 partner. Torres was ordered to make the customer whole.