$9.5-billion Independent Financial Partners to jump ship, create its own broker-dealer.
'Ike' Ikokwu also must pay $80,000 civil penalties and repay $65,000 to investors.
Its 401(k) Solutions business, only four years old, has amassed more than $400 million.
The Merrill Lynch and Morgan Stanley veteran has deep connections in the industry, which should help him as he sets out to build an independent firm with $100 billion in AUM.
Goss Advisors makes the case for economies of scale leading to higher payouts.
New Quick Start program promises to onboard new RIAs on the Tamarac platform within 30 days.
Austin, Texas-based Meritage's eight-person team will join larger firm's office.
Four-adviser group in Savannah creates Sounds View Wealth Advisors.
Consolidation following TD's $4 billion acquisition of Scottrade has resulted in a combination of layoffs and new hires.
Regional brokerage Benjamin F. Edwards is still in its 'first inning' of growth.
New role with innovative cash-management platform as sign of things to come for Bradley, while potentially placing him at odds with TD.
Firm says he will be 'pursuing other interests.'
Advisers don't always understand the pros and cons of the various business structures available to them.
United Capital's Matt Brinker talks about the outlook for independent financial advisory firms.
Asset-based pricing is just one way of pricing. It's time to go beyond your comfort zone.
Firms that have enjoyed AUM growth because of the runup in stocks may find it hard to adjust to declining revenues if the market suffers a major correction.
Advisers and brokers alike believe that the SEC will deliver a fiduciary standard because consumers want it.
Agency official promises to clear up questions created by 2017 guidance.
Care in exiting now required as wirehouses crack down on departing brokers.
Deep-pocketed PE investors are driving M&A activity, fueling growth.
