Most Recent Blog Posts

Sep 05, 2013

Advisor Group Chief Jumps Ship

Larry Roth, head of AIG’s Advisor Group, a network of 6,000 advisors, has jumped ship to Realty Capital Securities, the broker/dealer and wholesale....More
Jul 18, 2013

A Positive Sign for Small IBDs: Prospera on the Acquisition Trail

Amid questions about the sustainability of the independent broker/dealer business, one small IBD is bucking the trend....More
Jul 01, 2013

The Small Broker/Dealer Is Not Dead…Yet

Despite talk of the demise of the small b/d, fewer firms are closing up shop compared to this time last year....More
Jun 12, 2013

Sold: RCAP to Purchase First Allied

The sister company of American Realty Capital has announced its purchase of First Allied Holdings, encompassing $32 billion in assets and 1,500....More
May 30, 2013

Three Shades of HighTower

With its two new models, HighTower Advisors—the raider of the wirehouse ark—is now branching out to attract advisors who have already gone....More
May 22, 2013

Outgrowing Wall Street?

Are advisors outgrowing Wall Street? A new Cerulli report on the rise of the “boutique” seems to suggest that many are....More
May 17, 2013

Walnut Street Team Turns Down Cetera Deal to Join Boutique IBD

A $145 million AUM team from Walnut Street Securities has turned down a retention deal from Cetera to join SCF Securities....More
May 13, 2013

New Broker/Dealer Hopes to Bring the Best of brokersXpress

MoneyBlock hopes to fill the void left by brokersXpress, the independent broker/dealer that was suddenly closed by Schwab last year....More
May 02, 2013

On Mutual Fund Assets: This Round Goes to the Indies

In the fight for mutual fund assets, the indies seem to be winning, with mutual fund assets growing at a faster pace at the independent broker/....More
Apr 25, 2013

LPL, Raymond James Report Lackluster Recruiting Quarter

Independent broker/dealer LPL Financial and Raymond James had a lackluster first quarter for recruiting advisors....More
Apr 15, 2013

NFP Sold to… Guess Who? Private Equity

NFP said it will be sold to private equity firm Madison Dearborn Partners, further solidifying the private equity push into the wealth management and....More
Mar 18, 2013

IBDs Dress Up Offerings to Retain Fee-Based, Tactical Advisors

Some large independent broker/dealers are dressing up their offerings to retain and attract fee-based advisors who manage their clients’ assets on a....More
Mar 08, 2013

Hybrid the Fastest-Growing Channel; IBD the Biggest Loser

The dually registered, or hybrid, channel was the fastest-growing channel by assets in 2011, while the independent broker/dealer channel lost the....More
Feb 20, 2013

Is E*Trade a Threat? Think Again

E*Trade has been blasting financial advisors in commercials for their high fees, but the direct investing platform is not so cheap itself, one....More
Jan 31, 2013

Is TDA Competing for Your Business?

When TDA comes across investors with over $500,000 in assets, they’ll be referred to one of the company’s RIAs. But one advisor says many of his....More
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