Independent BDs

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.

Dan Arnold expects that upheaval to lead to more movement of advisers and assets.

The firm's Private Client Group saw pretax profits drop to $29 million from $83 million for the year-ago period.

As wealth management innovates, the ongoing trend is toward simplicity, transparency and greater value.

Life insurance and annuity sales are the elephant in the room when it comes to the fiduciary standard.

The firm's adviser headcount slipped 98 year-over-year.

The acquisition of IPI will add about $8 billion to the independent broker-dealer.

The broker’s written promise of 7% returns on a variable annuity made for a simple case, the lawyer for the claimant says.

The advisors left the wirehouse in a quarter that saw it lose 145 advisers.

The four advisers are the latest to bolt from Wells Fargo's Profit Formula platform.

At least 17 ex-wirehouse brokers bolted for the firm’s employee channel in the first quarter.