Independent BDs

Moody’s affirmed the company’s “B3” rating but signalled the potential wide-reaching impact of the pandemic across wealth management.

Wealth management firms should track the lives they impact beyond the size of their client books, KMS Financial Services CEO Erinn Ford says in an episode of Financial Planning’s Podcast.

LPL’s continuing major poaches from rivals make up only one of the kinds of ways that firms are vying to attract and retain advisors.

Five years of alleged promises, checks that never arrived, and a mysterious employee named “Tryg Nederloe” add up to a bizarre saga with wide ramifications.

Both firms have lower advisor headcounts, higher productivity and relocation plans — but Blucora's acquisitions have boosted its wealth management business.

Fee wars among asset managers are having small, but notable impacts across the industry and prompting renewed focus on core business.

Undisclosed payments from alt managers should have been explained to clients in Form ADV, the regulator says.

The exit of David Knoch is the latest change at the growing and rapidly pivoting tax-focused IBD formerly known as HD Vest.

The former Cetera advisors joined the firm’s employee channel.

OneDigital’s acquisition of Resources Investment Advisors shows a convergence between two major spaces within financial services.