Independent Broker-Dealers

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  1. Articles

    What draws women advisers to certain IBDs

    Some IBDs are finding extraordinary success in leveling the ranks of male and female advisers, even though on average less than one out of every five advisers today is a woman. Here's how they do it.

  2. Articles

    How the biggest independent broker-dealer networks stack up

    After looking at the independent broker-dealers with the most producing reps and the biggest year-over-year gains in assets and revenue in 2014, attention now shifts to the industry's big networks and the various firms under their umbrellas.Below you'll find a ranking of how the five biggest

  1. Articles

    The independent broker-dealers with the biggest revenue and asset gains in 2014

    Revenues at the largest independent broker-dealers grew 10.3% year-over-year in 2014, a figure in line with the broad market but below the 13.2% year-over-year revenue increase in 2013.While LPL Financial and Ameriprise dominate the independent broker-dealer industry based on total revenue, a group

  2. Articles

    The independent broker-dealers with the most female advisers

    The business is male-dominated, but some independent broker-dealers have come close to having 30% of producing female reps on staff. Here's a break down of the gender divide.

  3. Articles

    The latest ranking of independent broker-dealers by rep head count

    Even if recruiting at independent broker-dealers has hit a wall, the industry still features a number of firms with expanding numbers of registered reps.

  4. Articles

    The independent broker-dealers that offer the highest average payouts

    In 2014, independent broker-dealers enjoyed double-digit revenue increases, but adviser recruiting slowed considerably.While adviser movement may have decreased in 2014, average payouts remained robust at the industry's best-paying firms. We've ranked the top-paying independent broker-dealers based

  5. Articles

    Independent broker-dealer recruiting hits a wall

    Competition from custodians and good market performance are keeping more brokers at their firms

  6. Articles

    Largest independent broker-dealers enjoy double-digit revenue growth

    Despite lackluster sales of commission-rich products, 2014 revenues grew in line with the broad market. What does 2015 have in store? (Plus: Our full Top Independent B-Ds of 2015 special report)

  7. Articles

    LPL Financial's Dan Arnold is managing amid complexity

    Robert Moore's successor as LPL president talks about his earlier career and the challenges facing the independent broker-dealer industry

  8. Articles

    Former Cetera owner Don Marron returns to the investment advice business

    Industry vet says the future lies in retail, with baby boomers retiring and workers being moved to defined contribution plans away from pensions.

  9. Articles

    Broker-dealer expands crowdfunding reach with new partnership

    Broker-dealer North Capital Private Securities adds crowdfunding site OneVest to its platform that syndicates private offerings for investors.

  10. Articles

    Stifel's purchase of Sterne Agee likely not its last in the broker-dealer space

    The acquisition signals Stifel's interest in growing its wealth management business, though future deals depend on what's available — and at what price, according to CEO Ron Kruszewski.

  11. Articles

    Merrill Lynch's John Thiel urges colleagues to work with DOL on fiduciary rule

    At least one major industry player is taking a more welcoming stance toward working with the Labor Department as it seeks to create a rule that would hold brokers to a fiduciary standard when dealing with retirement plans.

  12. Articles

    Brokerage executives enjoying steadily increasing payouts

    As markets thrive and wealth management becomes a focus at major firms, brokerage execs like Morgan Stanley's Greg Fleming enjoy bigger paydays.

  13. Articles

    Tony Thompson barred from securities industry

    The regulator said he misrepresented $50 million private offering that later went into default