Independent BDs

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.

Although the industry reflects stark disparities, these firms are leading their peers in the hiring of female registered representatives.

The advisor was accused in a lawsuit in January of swindling a Georgia couple out of $330,000 in retirement savings.

The move marks the fifth new office added by the hybrid RIA this year.

The CEO of Pershing Advisor Solutions sees an opportunity for RIAs in the potential restrictions on a term that has stoked criticism.

The clearing and custody firm also announced $50 million in new investments to fuel its advisory business.

As firms position their advisors to compete for future clients, diverging strategies have developed.

While such an act may seem like career suicide, it can in fact be a move to do just the opposite, according to attorneys.

The No. 7 IBD has unveiled five new internal classifications for practices in an effort, it says, to boost the customization of its services for advisors.

At least seven firms with outside RIAs have left the No. 1 IBD since it announced a change in policies last November.

A client's alleged complaint sparked a dispute between the wirehouse and its former advisors.

Shifts in the annual ranking of the nation's independent broker-dealers show how pressure on IBDs is intensifying.

The nation's largest IBDs are growing again, but are they innovating fast enough to keep up with the industry's transformation?

This interactive tool provides the full collection of data from Financial Planning's 33rd annual study of the largest firms in the space.

Thirteen of the top 25 companies generated double-digit growth in 2017 as rivals close in on the perennial No. 1 firm.

The fraudulent investments advertised guaranteed returns of up to 8% annually, the regulator says.

At least six RIAs have left since the No. 1 IBD announced a change in policies last November.

Kestra Private Wealth Services CEO Rob Bartenstein says the new practice makes the fourth new office added this year by the hybrid RIA.

The network brought together three dozen advisors with 20 tech vendors as it seeks their input on potential partnerships and acquisitions.