Independent BDs

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.

Richard Ketchum voices support for SEC to move on a uniform fiduciary standard for brokers and advisors, while warning of unintended consequences from DoL's proposal.

It takes a lot for some of the smaller players to match the revenues of the industry giants. But it may be even harder for the big players to keep up when it comes to rates of growth. See which independent B-Ds reported the biggest revenue growth rates from 2013 to 2014.

It takes a lot for some of the smaller players to match the revenues of the industry giants. But it may be even harder for the big players to keep up when it comes to rates of growth. See which independent B-Ds reported the biggest revenue growth rates from 2013 to 2014.

Summit Financial, based in Westlake Village, Calif., is a primarily fee-based RIA offering clients investment management, insurance and retirement planning, says Triad, which offers advisory firms both a broker-dealer and a fee-based RIA multi-custodial platform.

Three bank breakaways join two former colleagues who started the independent firm Standard Investment Advisors last year.

A former H. Beck advisor joins Securities America after 27 years with the firm to explore some of the industry's latest technological advances.

King Financial Network president says the team went private for better accessibility and technology.

The job offer from a commercial landscaper came "out of left field," says Dan Krems.

Independent advisors are bucking the broader trend and going to work for wirehouses and regional firms, ditching managerial tasks for simplicity and payoff.

Impressed by LPL's size and scale, Faubourg Private Wealth Advisors also liked the idea of working with super-OSJ Level Four for additional flexibility, the firms' investment models and multi-custodian platform.