Independent BDs

Can an RIA take the first bite of the apple when it comes to a dually registered rep’s brokerage commissions?

The move to acquire the No. 16 firm from John Hancock reflects the acceleration of industry trends and a potential giant in the making.

The No. 1 IBD’s top recruiting executive announced his retirement after the firm disclosed some mixed recent results.

The insurance giant and No. 6 IBD made Alexa Von Tobel its chief innovation officer following the closure of the planning startup it acquired in 2015.

While the demise of the Department of Labor’s regulation will hurt investors, it makes fiduciary advisors even more relevant.

Royal Alliance Associates will absorb the firm following the deal, which would push the network’s headcount above 6,800 advisors.

Securities America and Atria Wealth Solutions hired recruiting and operational heads from Ameriprise and Cetera.

Community Bank & Trust of Florida switched its program after a 16-year relationship with Invest Financial.

The No. 1 IBD launched an investment offering aimed at the distributed ledger technology its research unit says could disrupt nearly every industry.

Such a move would also coincide with efforts to cut costs in the bank's wealth management business by $600 million by 2020.

Firms of all sizes have helped push fee-based business above commissions as the industry undergoes a transformation.

After a busy month nabbing talent from Wells Fargo, Raymond James picks up a team from Stifel.

The firm’s principal says his team wanted to join the No. 1 IBD, which is testing larger recruiting offers.

Three advisors who left the firm years ago are returning to the regional broker-dealer.

Fiduciary advocates lament the absence of the term from the SEC's rule, which they say fails to move beyond FINRA’s existing suitability standard, while the brokerage sector sees the proposal as a welcome jump in oversight.

Wealth Enhancement Group has nearly doubled its assets over a two-year period.

The firm aligned its brokerage business with Private Client Services following a big acquisition and a major executive hiring.

The advisor told the client that she could pre-pay her advisory account fees at a discount by writing him a $7,400 check, FINRA claimed.

Other states are likely to enter similar agreements with the broker-dealer.

Before agreeing to settle a client’s complaint, advisors should look for this key clause in the contract.