Independent BDs

CEO Dan Arnold said the acquisition of NPH’s assets will serve as a model for the future.

The practice opted for USA Financial after Jackson National sold National Planning's assets.

The fast-growing firm has added 300,000 square feet of office space to its headquarters.

CEO Jim Cracchiolo reported record client assets and a sharpened focus under the fiduciary rule.

The move is the latest in a series of departures from the wirehouses to smaller independent firms.

The independent broker-dealer’s executive team hopes the SEC works with the DoL to develop an industry standard.

As technology forces rapid evolution, conditions will improve for entrepreneurial women.

The team marks at least the second to opt for a smaller IBD over the nation’s largest.

IHT Wealth Management now has $2.4 billion in client assets.

Clients are looking to be reassured about the security of their data.

The move marks the latest in a frenzied period one recruiter describes as “a feast.”

Reps recommended complex investments without restrictions, the regulator said.

See which firms took in the most revenue last year amid an industry-wide slump.

As RIAs and regulations reshape the industry, the concern is real, a new Cerulli report says.

Stockholders had alleged “false and misleading” financial statements.

The BD says it has recruited 83 new reps this year as part of Advisor Group’s overall haul of 295.

Most advisors don’t have required safeguards in place, one expert says.

27 firms have signed on to the standard, but state regulators and industry groups are pushing for more.

The $195 million cash purchase is Envestnet’s sixth largest deal since 2010.

"This is a window for these regional firms to really explode," says Rob Blevins, a recruiter in Dublin, Ohio.