Independent BDs

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.

The settlement is the third major regulatory payment the BD has incurred in the past year. A branch manager associated with the Jay Peak case has also left the firm.

The group includes a father-daughter duo who have worked together for 25 years.

Older wirehouse advisers opting to go independent should keep these factors in mind if they want a richer exit from the business.

Which firms showed “meaningful progress” in improving client experience? And which one slipped?

HighTower and Dynasty added big platform clients as wirehouse brokers continued to flee.