Independent BDs

Cetera Advisors to Get $50M in RCS Capital Bankruptcy
Advisor retention cited as a "crucial" priority by RCS Capital as it seeks to discharge debts, reorganize and shed its ties to founder Nicholas Schorsch.
Filing expected Sunday; advisors expected to receive distributions through retention packages. Read More »
After an abrupt exit from industry, Brown returns and reveals plans for the country's largest woman-run IBD, along with Lightyear's Donald Marron and Advisor Group's Erica McGinnis. Read More »
Depending on what is permissible under the Labor Department's forthcoming rule, "there will have to be adjustments on the part of the advisor and on the part of the firm," CEO Jim Cracchiolo says. Read More »
Regulator’s surveillance director says watchdog would review broker-dealers who implement automated advice, to determine if they properly assessed client risk tolerance. Read More »
Former Merrill Lynch advisors launch a new office with IHT Wealth Management. Read More »
To protect themselves from the industry self-regulator's scrutiny of these products, firms should take these actions. Read More »
After only two months in the role, Roth is being replaced by a restructuring specialist. RCS recently said it would file for bankruptcy. Read More »
CEO Paul Reilly said the fast growing firm's pretax income for its Private Client Group fell 25% year-over-year, and said market volatility was creating headwinds. Yet advisor ranks have climbed to record high. Read More »
In its second acquisition in a year, EP Wealth lands woman-owned RIA on its way to its growth target of $5 billion in AUM. Read More »
The independent firm founded by several former wirehouse managers picked up two recruits who generated $1.5 million in annual production. Read More »
After his roller coaster ride with troubled RCS Capital-owned Cetera Financial Group, Steve Dunlap returns to his entrepreneurial roots. Read More »
Marcato Capital has sold more than 1.6M shares so far in January, according to an SEC filing. Read More »
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