Updated Friday, January 30, 2015 as of 10:58 PM ET

Girard Securities' CEO Calls Large SEC Exam 'Routine'

Auditor of REITs in Schorsch's American Realty Capital Resigns

Ameriprise Profits Soar, But Advisor Headcount Drops

Can IBDs Hang On to Independent Advisors?

Profits Slip at Raymond James

Veteran Advisor With $100M AUM Jumps to Lebenthal

BNY Veteran Launches RIA, Taps Raymond James as Custodian

Does Independence Have a Price?

Independent Assets Expected to Surpass Wirehouses in 2019

4 Advisors Leave U.S. Bank for Ameriprise

Schorsch's Exit Leaves Major Questions for RCS Advisors

Schorsch Quits Board of RCS Capital

Schorsch Tied to ARCP Accounting Scandal in Lawsuit

FINRA Fines Wells Fargo Advisor Units $1.5M

'Steady Flow of Negative News' Takes Toll on Schorsch

Schorsch, 2 Execs Resign From His REIT Company

Biggest Breakaways of 2014

SEC Orders 3 Ex-LPL Employees to Pay More Than $1.5M

Washington Wealth Snares 2 More RBC Advisors

Battle Lines Drawn in FINRA's CARDS Proposal

Tech Survey 2014: What's New Now?

Ex-LPL Rep Suspended 18 Months & Must Pay $243K, FINRA Says

Point72 Took RCS Capital Stake as Regulatory Inquires Disclosed

Veres: Give Up the 'Fiduciary' Fight

Advisors on the Move: Mega Team Leaves J.P. Morgan for Wells Fargo

RCS Receives Regulatory Inquiries After ARCP Accounting Errors

Retail Advice a Bright Spot as RCS Earnings Disappoint

Former NYTimes CEO Joins Board of Steward Partners

Overlooked Talent Pool? Senior Advisors

Schorsch Plays Defense at Schwab Amid Turmoil in His Empire

LPL Boots Products From Schorsch Empire

Former Wirehouse Manager and 2 Independent Advisors Join Lebenthal

Ameriprise Recruits LPL Advisor With $165M in AUM

IMCA's "Success" Driven by More Members With More Assets

Banner Year for Profits at Raymond James Financial

Wealth Management Profits Up 35% at Ameriprise

Aftershocks Follow Schwab Robo Rollout

Wunderlich Reversal: Won't Hire 'Discharged' LPL Broker

Former AXA Advisor to Plead Guilty to Stealing $1.5M From Clients

Advisory Services: How Do You Stack Up?

Wirehouse Advisors Lead in High-End Services, Study Shows

SEC Files Record Number of Enforcement Actions

Ladenburg Adds 4th IBD to Network

Does Fired LPL Broker Pose Risk to New B-D?

6 Smart Things Heard at Raymond James Women's Symposium

Advisors on the Move: 2 Wirehouse Teams With $400M Each Go Independent

$400M Wirehouse Team Goes Independent With Dynasty

FINRA Advances CARDS Proposal, But With an Ear to Industry

FSI Warns on DoL Fiduciary, FINRA CARDS Rules

SEC Again Targets Ex-LPL Advisor in $2M Fraud Case

Wirehouse Execs Move to Dynasty Financial

Advisors on the Move: Morgan's Multi-Billion-Dollar Grabs From Merrill

Exec Shakeup at RCS Capital

Risk Tool Smackdown: FinaMetrica vs. Riskalyze

Buying or Selling Your Practice? Go With the Right 'Fit'

Advocates Losing Ground in Fiduciary, User Fee Battle

RCS Snaps Up Majority Share of Docupace

Ex-SEC Official Questions Uniform Fiduciary Debate

Fiduciary Advocates Take Aim at Brokerage Practices

Top IBDs for Women: What Works Well

Advisors on the Move: Morgan Stanley Grabs Billion-Dollar Mega Team

FINRA Names New Disciplinary Chief

Vanguard's Bogle: We Need Less Trading, Higher Fiduciary Bar

B-D Audits: Changes Needed to Meet New Standards

Wells Fargo Lands Advisors With More Than $1.1B AUM

Ameriprise Scoops Up Advisors With $600M AUM

HighTower Grabs Merrill Team Managing $440M

Reality Check: You're Not So Client Centric

New LPL Firm Aims to Lure Smaller Breakaways

Raymond James Lands Morgan Stanley Advisor Duo

Failed Experiment at the SEC

6 Trends Squeezing Financial Advisors

B-Ds Need Higher Capital Requirements, Says Fed Official

Advisors on the Move: Big Merrill Lynch, Morgan Stanley Teams Go Independent

Cetera Shift: Focus Now on Organic Growth

HighTower Nabs $800M Merrill Team

LPL Chief Exec Transfers Stock Worth $14 Million

How to Fix the Industry's Race Problem

Ex-LPL Exec's New Firm Has Ties to SEC-Barred Advisor

'We Are Not Happy': LPL Profit Falls 4.4%

Trailblazing Breakaways Challenge Wirehouse Model

Washington Wealth Snags Breakaways With $200M AUM

HighTower Adds $400M RIA Team

Raymond James Financial's Profits Balloon 46%

No End to Breakaway Frenzy?

Securities America Deal Adds $2.4B in Assets, 268 Advisors

Advisor Duo With $200M in AUM Joins Raymond James' Independent Channel

4 Elite IBDs You May Not Know

Big Breakaway Team Aims to Take $592M to LPL

Do Independent Advisors Oppose Expected DoL Fiduciary Rule?

Securities America Reels In New Super OSJ

Baird Tops $125B AUM, 800 Advisors With Latest Deal

Could Feds Kill DoL Fiduciary Regulation?

39 Great Ways to Improve Your Practice

Employees vs. Independents

Happiest Advisors Have Clarity

Lebenthal Shutters Muni Underwriting to Focus on Wealth Management

Advisors on the Move: Wells Fargo Picks Up $1.5 Billion Mega Team

Fee-Based: 5 Reasons to Make the Switch

D.A. Davidson Helps College Grads Join Advisory Profession

FP50: Big Changes at the Top

FINRA Looks to Ease Burden on Small Firms

Cetera Senior Exec Bolts for Advisor Group

How to Fix Your Incentive Pay

RJFS Forecast: Best Recruiting Year Since '09

FINRA Chief Welcomes Alternate Plan for Advisor Oversight

CEO: What Raymond James Wants This Year

Fiduciary Standard Debate Prompts Dispute at SEC

Advisor Reality Check: How Business Savvy Are You?

Should Firms Settle Regulatory Cases? Study Says No

Schorsch Taps New President for First Allied

Why Soldiers Need Financial Help

RJFS Compliance Chief Resigns

New Cetera Owner Sounds Bullish on M&A

RCS Closes $1.15 Billion Cetera Deal

Ameriprise Jumps Most Since 2012 on Profit Gain, Share Buyback

Costs Squeeze LPL Profits as Recruiting Slowed

LPL Profit Drops 3% Amid Recruiting Pinch

Raymond James Private Client Group Reports Record Revenues

How Independent Advisors Can Beat Wall Street

Advisors on the Move: Barclays Loses Advisors to Janney and Deutsche Bank

Arbor Point Gains $100 Million Advisor Group

Cerulli IDs $74 Billion Exit From Wirehouses

LPL Exec Replaces Departed Bruton

10 Big Risks Facing New Cetera Parent

Washington Wealth Nets Breakaways With $150M

Advisor Group Taps Exec to Lead Recruiting Push

Transamerica Reimburses 2,300+ Accounts in SEC Deal on Overcharging

Wells Fargo Picks Up Advisor With $424M AUM

IBD's Product Sales Jump 23%, but Fee Shift Pinches Revenues

Advisors Beware: Single Data Breach 'Can Bring Down' a Practice

Big IBD's Female Advisors Get Firmwide Mentoring Program

FINRA Fines 2 Big IBDs Over Reporting Failures

Advisors Falling Short on ID Theft?

SEC Won't Rewrite Advisor Compliance Rules for Social Media

Washington Wealth Hopes to Lure More Advisors With NFP Deal

'Bright Future' as Independent Channel Gains Marketshare

RCAP Launches Research Division

SEC to Accelerate Uniform Fiduciary Push

Brrr...LPL Cites Bad Weather for Recruiting Slowdown

SEC Oversight Advocates Push Fight to Next Level

Dual Registrants, Alternatives Top SEC's Concerns

New CEO for Woodbury Financial

Ousted LPL Exec Advising Planning Startup

CFP Board Taps Ex-Regulatory Official for Disciplinary Panel

Schorsch Pledges 'No Pressure' to Sell Nontraded REITs

Affluent Investors Eye Commercial Real Estate

Schorsch's Expanding Empire Targets Mass Affluent

Exclusive: Nicholas Schorsch's Shopping List

B-D Fined $175,000 Over Supervisory, Suitability Failings

The January Issue is now online!


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