Independent BDs

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.

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.