Independent BDs

Planners using the latest digital tools report higher AUM than their colleagues, Fidelity says.

Advisers face fewer choices for clients as both the rule and SEC enforcement roil the market.

Even as the board seeks stricter fiduciary rules, there are concerns about loopholes on conflicts and commissions.

The new recruits, who previously worked at Wells Fargo Advisors and Janney Montgomery Scott, also pointed to the firm's affiliation with Raymond James in making the move.

Although revenue fell for the FP50, most firms upped their AUM.

Here's what smaller firms hoping to get out of the broker-dealer business need to know.

Wirehouses, broker-dealers and banks unveiled client-friendly policies while asking the agency for further delays.

Facial recognition software is more efficient and accurate than any questionnaire, says the IBD's chief executive, Robert Moore.

These firms reported the highest share of accounts topping $100,000.

The challenges of new regulations may actually allow independent firms to grow and thrive—particularly those which embrace these four advice-centric features.

Revenues have slumped, but what’s rising may be a better indicator of the years ahead.

A clear path has emerged after historic revenue drops among the top independent broker-dealers.

See which independent broker-dealers outpaced their peers at the top line.

This interactive tool gives you the ability to evaluate independent broker-dealers.

Commissions-based compensation models are losing ground to fee-based ones. But for broker-dealers, the switch isn’t something to be entered into lightly, Michael Kitces writes.

Opponents of the regulation don’t have “new evidence” to beat back a final legal challenge, says the former assistant secretary of the Department of Labor.

The firm says its external backup system failed at the same time its main internet connection was cut, raising concerns.

The firm’s newest team left Wells Fargo’s independent channel.

The OCIE is suggesting best practices for firms to protect themselves.

The recruit made the move a week after the independent firm recruited three other wirehouse teams managing more than $600 million.