Independent BDs

Two advisors left the wirehouse where they generated more than $1.1 million in annual revenues.

An upcoming forum for regulators and industry professionals will discuss the SEC’s compliance oversight, cybersecurity, anti-money laundering, and approaches to supervision and sales practices.

Cetera's assets under management climbed to $46 billion for the first quarter, up 32% from $35 billion for the same period last year. Adjusted EBITDA soared 50% to $36 million.

Envestnet's acquisition of Finance Logix marks the latest in a string of big firms snapping up advisor-focused technology providers.

Two advisors that produced $2.15 million in annual revenue joined Raymond James Financial Services, the firm's independent broker-dealer.

Sage Private Wealth recruits an advisor with about $1.3 million in annual revenue -- and a family resemblance.

LPL's net income dropped 4.6%, as the firm recorded $11 million in regulatory and legal bill for the first quarter.

The U.S. Senator says she is, "concerned that these incentives present a conflict of interest for agents and financial advisors."

"The bar of expectations among advisors has been raised by their experience with a best-in-class website," says the author of a new report in which advisors ranked fund managers.

After several annual losses and FINRA fines, call center magnate John Sykes to sell JHS Capital to the country's second-largest IBD.

A recent coaching seminar has me recalibrating my understanding of practice management. You may need to adjust yours, too.

Three advisors were stripped of their CFP designations, 13 were suspended and seven were publicly admonished for technical infractions.

An advisor's move to HighTower sheds light on an issue that bedevils those making the transition: Whether to risk losing partners -- and possibly clients.

CEOs, when questioned in recent earnings calls, offered first impressions of the impacts the proposal may have on the industry.

The company's Private Client Group reported a 2% decline in quarterly profits as the firm continued to ramp up its advisor recruiting.

The firm's wealth management division also reported that pretax operating earnings rose 16% from a year ago.

About a quarter of fee-only advisory firms we surveyed in February said they had changed their fee structure in the past year (as did 20% of all independent firms). So what did they do? We combed through respondents' individual comments to identify several of the changes firms have made.

"We're betting on financial advisors and personalized financial advice delivered by people," says RJFS President Scott Curtis.

After selling Cetera for a rich $1.15 billion, Donald Marron's Lightyear Capital picks up a $4.7 billion hybrid RIA.

Three advisors left the wirehouse to join the independent brokerage network at Wells Fargo.