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Even as BDs transition from their commission roots, too many still treat advice as a liability.
March 1
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The firm aims to avoid disruptions for its 2,300 advisors — but the pending recapitalization comes as the space consolidates amid shrinking margins.
March 1
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Succession planning, reputation and technology proved to be important in the decision-making process for these advisors.
March 1
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The husband-wife team left LPL after 11 years with an eye toward its rival’s tech and service offerings.
February 27
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Smaller firms are opting to turn into OSJs in an era of shrinking margins for IBDs and record consolidation in wealth management.
February 26
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The private equity giant with a track record of taking firms public would add the IBD to its list of more than 850 investments for $73 billion worldwide.
February 25
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The No. 1 IBD is pitching advisors on the merits of its offerings — but rivals have also added major teams from its ranks.
February 22
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The IBD is one of three dozen firms the regulator has accused of failing to provide sales-charge waivers to eligible retirement plans and charities since 2015.
February 21
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The new standalone firm’s first licensing agreement would bring MassMutual’s 9,000 reps on to the platform developed by the No. 4 IBD.
February 20
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The CEO said his decision to resign followed a physician’s recommendation in connection with an undisclosed medical problem.
February 19
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The No. 1 IBD’s efforts display opportunity amid the shortcomings of an industry still lacking measurable data from some of its largest firms.
February 19
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The tax-focused IBD’s custodial and platform transition is taking longer than the company or its advisors expected.
February 14
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It's the first regulatory ding for the influential advisor and entrepreneur in almost 15 years.
February 13
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The No. 1 IBD plans to offer training and education and team up with reps on outreach to officials.
February 13
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Clients have received a combined $3.7 million in settlements involving two barred former reps of the IBD set to be acquired by Atria Wealth Solutions.
February 12
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The No. 1 IBD is reaping the benefits of learning the lesson that it “can never move away from the advisor,” according to its head of business development.
February 11
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With competition heating up, the IBD is offering advisors better technology and higher pay.
February 11
Elite Consulting Partners -
Securities Service Network is pitching advisors on its tax offerings, access to management and parent-firm resources.
February 8
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The firm cut its headcount by 22% while boosting productivity by 48% in 2018, and it plans to roll out a new desktop platform for its 1,060 representatives.
February 6
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The past year brought major changes to the IBD network, including the sale of its majority stake and a structural reorganization.
February 5
