Independent BDs

LPL Financial says the pace of new advisors affiliating with the firm has slowed from the levels of late 2013 "in part due to disruptive weather."

The advisor groups advocating for SEC vs. FINRA oversight of the RIA sector are turning their lobbying efforts away from the House.

The focus on dual registrants grows out of concern that the different compensation structures of the two business lines can create conflicts of interest and potentially harm investors, according to an SEC director.

AdvisorGroup announced Monday that Rick Fergesen has been named as president and CEO of one of its four independent broker-dealers.

Independent broker-dealer network Advisor Group has a new CEO with big goals. First on the list: Find acquisitions.

Broker-dealers have managed to control the terms of the regulatory debate. Advisors: It's time to watch your language.

Esther Stearns is working with financial software maker Guide Financial in its quest to "carry the NestWise torch."

As four officials begin terms as volunteer chairmen of CFP Board councils, a former panel chairman highlights the challenges they may face.

'There will be absolutely no pressure to sell any of our products,' says RCS chairman Nicholas Schorsch, who built a fortune on nontraded REITs but has recently been acquiring several big independent B-Ds.

A survey of 500 mass affluent investors by an industry association finds -- conveniently -- high awareness and use of nontraded REITs.

For RCS advisors and brokers, the sweet spot will be individuals and families with $300,000 to $3 million in investable assets, Schorsch says.

RCS Capital wants to buy an investment research firm, an RIA and a family office -- and hold a major industry event modeled on Charles Schwab's annual Impact conference.

Royal Securities to pay $175,000 in FINRA fines over non-traditional ETF sales, church bonds and other violations.

An advisor team with nearly half a billion dollars under management has left AXA frustrations with how the firm structures its compensation plan.

The company reports asset and revenue growth but "regrettable" advisor attrition.

Cambridge's Amy Webber says promotion is next step in complex internal succession plan.

John Lindsey, who left Edward Jones in 2012 and won a FINRA arbitration case against his former firm last summer, has launched The Bold Advisor to provide support, guidance and information to breakaway advisors.

Hot on the heels of record revenues for 2013, LPL plans to repurchase nearly 2 million shares from one its largest shareholders.

LPL Financial is positioning itself as a simplifying agent for advisors facing a stream of new technological innovation.

The country's largest independent broker-dealer attracts 110 net new advisors in the fourth quarter.