Independent BDs

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.

Having gone through the lengthy and draining process, Exencial Wealth Advisors’ Michelle Scarver shares her No. 1 piece of advice for fellow planners.

The investment product raises eyebrows, but the firm’s founders have pledged to act as fiduciaries.

Switching firms can be a herculean task, but independent firm Steward Partners furnishes ex-wirehouse advisors with teams of specialists to ease the process.

The $420 million team marks the latest wirehouse exit over a lack of flexibility around the rule.

The duo launched a new independent practice with the firm's Investment Advisors Division.

The SEC could continue cracking down on brokers and advisers, but some see Clayton’s leadership taking a more business-friendly tack.

Three firms have fired the broker, whose former clients have won $494,000 in settlements.

Michael Jeppson generated about $1.8 million in annual revenue, according to his new firm.

Succession planning is easy to talk about. It’s much harder for planners to actually plan for.

The private equity-backed firm has added seven ex-wirehouse advisers so far this year.