Independent BDs

Blucora’s wealth management unit is transforming while showing some impressive results. But is the firm moving too fast?

The recruits joined from Merrill Lynch, Wells Fargo Advisors, SunTrust and Snowden Lane Partners.

The major employer-plan group had previously been affiliated with the predecessor of Global Retirement Partners.

The requirement is back in the spotlight as consumer advocates and business interests face off on proposal to outlaw this key provision of customer agreements.

The 7,500-advisor network agreed to buy certain assets of Foresters Financial’s U.S. BD and RIA.

An upcoming integration with AdvicePay marks the first step in a series of changes to recruiting and service at KMS under Erinn Ford.

Having ‘fessed up to improper 12b-1 fee disclosures, dually registered advisors might still be excluded by FINRA.

A CFP and former NDSU Bison aims to build a planning-based business from the ground up under the IBD’s model.

The Ladenburg IBD failed to spot the red flags of a barred ex-advisor who later pleaded guilty to fraud, former clients say.

Dan Arnold received $7.1 million in 2018, far below the longer-tenured chiefs of rival firms Ameriprise and Raymond James.

Arkadios Capital poached three advisors from its founders’ former firm after its revenue more than tripled in 2018.

The regulator is going back to some of the firms that voluntarily settled, requesting information on revenue sharing.

The case could bring unwelcome scrutiny of Wall Street's compensation and employment practices.

More than 650 advisors considering a career change visited the firm's headquarters during its last fiscal year.

The advisor trio joined the firm after its best recruiting year ever.

Jamie Grupe will be teaming with veteran Ameriprise advisor Steve Kinney.

Should advisor retention go as planned, Blucora's agreement to purchase the firm would boost its IBD headcount to 4,500 reps.

Commissions and cash-sweep revenue jumped by more than a combined $100 million in 2018 — even as the parent firm’s longtime chairman left the company.

The group with $175 million in client assets opted for a Ladenburg IBD they think is less likely to change hands in the future, the OSJ manager says.

The 12-advisor practice serves clients in a group often neglected by the industry, its managing directors say.