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Investment Advisor September 2006 Lauren Barack	Going Mobile To compete, broker/dealers are improving their technology platforms, with an eye on mobility.
Investment Advisor June 2007 Lauren Barack	Streamlining Broker/dealers are aiming for a one-click model for their technology platforms.
Registered Rep. April 1, 2008 Christina Mucciolo	The Eclipse of Paper The process of scanning documents and storing them using document-management software has finally taken hold of the mainstream in the brokerage industry.
Investment Advisor February 1, 2011 Dan Skiles	Building an Efficient Document Imaging Strategy The good news regarding document imaging and management is that most advisors are already storing some of their documents electronically. The challenge for advisors is making sure that they have the right system in place for their firm.
Financial Advisor March 2008 Joel Bruckenstein	Kicking It Up A Notch Tech upgrades at some of the larger independent broker-dealers.
Financial Advisor June 2009 Joel P. Bruckenstein	Stepping It Up Broker-dealers are enhancing the technology they offer to advisors.
Investment Advisor June 2006 Kathleen M. McBride	Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways.
Registered Rep. March 1, 2006 Kristen French	The Best of Both Worlds Advisors say the broker/dealer-RIA hybrid model gives them freedom to choose what products, services and fees are best for their clients.
Financial Advisor March 2011 Joel P. Bruckenstein	The Commonwealth Way This independent broker-dealer has made great strides in integrating technology systems into its advisory platform.
Investment Advisor May 2006 Kathleen M. McBride	B/D Briefing: Pick Three In a recent reader survey, when asked where reps would go if they were to consider moving to another B/D, three firms were consistently mentioned: Commonwealth Financial Network, LPL Financial Services and Raymond James Financial Services. Here's why.
Financial Advisor September 2005 Bruce W. Fraser	How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process.
Financial Planning January 1, 2010 Paul Menchaca	Plains Vision Surrounded by nothing but miles of farmland are the offices of Cambridge Investment Research, a pioneer of the hybrid advisory model.
Financial Advisor December 2008 Joel Bruckenstein	Beyond Paperless Laserfiche Avante's document management and other features allow advisors to find new ways to structure work flow.
Investment Advisor March 2006 Melanie Waddell	The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable.
Registered Rep. November 1, 2006 Susan Konig	A Big Trade Off? For advisors looking for further independence through a registered investment advisory firm, compliance burdens can increase. Reps working under an independent b/d's umbrella RIA, also known as "dually registered" advisors, must comply with both NASD and SEC rules.
Financial Planning June 1, 2010 Paul Menchaca	Tale of a Tough Year What the numbers show: a dramatic seven-month stock market rally was not enough to help most of the top 50 broker-dealers counter the aftershocks of the financial crisis.
Investment Advisor September 2007 Kathleen M. McBride	A Trend Confirmed? Advisory fees overtake commission revenue at Commonwealth. So what does this mean for the independent broker/dealer industry? Will other firms soon reach the point at which fee revenue dominates?
Financial Advisor February 2006 Joel Bruckenstein	Rep Tech A broker-dealer's technology can play a key role in a rep's success and satisfaction. Perhaps independent reps should regularly compare the technology that their B-D offers against what leaders in the field have to offer.
Financial Advisor October 2010 David J. Drucker	Audit Ready This tool should make your SEC audit go more smoothly.
Investment Advisor April 2006 Andrew Gluck	Your Best Partners More and more, financial advisors are using technology tools to offer additional services and become more efficient.
Investment Advisor June 2009 James J. Green	Best of Times, Worst of Times Securities America and Capital Analysts have responded to the financial crisis in quite different ways. But they're also quite similar in how they're proactively changing their business models to help reps and the home office thrive
Investment Advisor March 2008 James J. Green	Coming Out Party Only fours years after its inception, the Financial Services Institute has achieved a high level of success as the primary advocacy group for independent broker/dealers. The recent FSI gathering was the broker/dealer group's biggest ever.
Investment Advisor January 2006 Kathleen M. McBride	Balancing Act The broker/dealer model is changing, spurred by business and regulatory pressures, and reps may stop talking to their clients.
Registered Rep. July 8, 2011 Lauren Barack	AIG's Advisor Group Kicks Open Door to Social Media For Reps Advisor Group will allow its more than 4,800 independent reps to, in many cases, post freely on Twitter, LinkedIn and Facebook.
Investment Advisor August 2010 Melanie Waddell	Broker/Dealer Marketing: Finding Their Voice Broker/Dealers are waking up to the new, post-downturn marketing environment. Here are a few of the best ideas.
Financial Advisor March 2010 David Lawrence	A Key To Efficiency Advisors today have many choices when it comes to document management software.
Financial Planning July 1, 2006 David J. Drucker	Fee-Based Confusion Cambridge, Commonwealth and Securities America aren't your father's broker-dealers. Although they count reps of all compensation stripes within their ranks, they're clearly leading the new generation to a more professional business model.
Registered Rep. June 27, 2011 Diana Britton	The Good, the Bad and the Ugly It seems like every week, another independent broker/dealer goes under or up for sale because of a bad private placement or other problematic alternative investments. All that turmoil has left a pool of advisors out in the cold, looking for new firms to call home.
Registered Rep. June 16, 2011 Diana Britton	Securities America Jumps on the Social Media Bandwagon Independent broker/dealer Securities America announced its new social media program, which will allow all of its 1,800 reps to access and post content on Facebook, LinkedIn and Twitter.
Financial Advisor August 2012 Karen DeMasters	The Great Migration Though they aren't moving as fast as they were a few years ago, advisors are still in play for independent broker-dealers.
Financial Advisor September 2007 Joel Bruckenstein	File Trials Today's regulatory, legal and security environments demand a more robust document management solution and financial advisors who downplay these issues may find themselves doing so at their own risk.
Investment Advisor September 2009 James J. Green	Chosen: 2009 Broker/Dealers of the Year The firms given the highest ratings among their peers by their own reps in the 19th annual Broker/Dealer of the Year balloting.
Registered Rep. March 31, 2015 Diana Britton	Do You Consider Yourself a Fiduciary? A survey of broker dealers on this question.
Investment Advisor September 2007 Kathleen M. McBride	Around the Table The leaders of the 2007 Broker/Dealers of the Year speak frankly about their challenges and opportunities.
Financial Advisor October 2012 Joel P. Bruckenstein	A Different Kind Of Leverage Independent broker-dealers are using technology to help their advisors prosper.
Investment Advisor September 2009	Broker/Dealers of the Year, Through the Years A list of the top Broker/Dealers of the Year, as chosen by Investment Advisor readers, from 1994-2009.
Investment Advisor September 2010 James Manouse	IA Soapbox: B/D Marketing Departments Are Wrong A marketing department must help to make the affiliated rep the dominant rep in their local area.
Financial Advisor May 2009 David J. Drucker	Crisis Intervention Broker/Dealers unveil new programs to help advisors survive the recession.
Investment Advisor September 2008 Eric Schwartz	B/D or RIA? The Case for the Flexible B/D How independent broker/dealers and advisors can thrive by leveraging the trends of the future.
Investment Advisor September 2008 James J. Green	You're the Tops In a comprehensive face-to-face discussion, the leaders of the Broker/Dealers of the Year explain their firms' unique charisma and how they plan to remain at the summit of their professions.
Investment Advisor June 2006 Green & Murphy	Recruiting Wars: Freedom and Culture The underlying dilemma of independent broker/dealers and their reps -- interdependence versus independence -- is one of the main dynamics in play when it comes to recruiting reps.
Investment Advisor November 2009	Upgrades Advisor Products: Laserfiche introduces PhotoDocs, a new document capture system... Fidelity's National Financial has debuted its Bank Deposit Sweep Program... Morningstar is beta testing a new product called Morningstar QuoteSpeed... more...
Financial Planning June 1, 2011 Donald Jay Korn	FP 50: Revenue Rising The money stream is flowing again: After two years of stagnant or, worse, shrinking revenue, the 50 largest independent broker-dealers report their annual revenues rebounded last year - significantly in many cases.
Registered Rep. June 4, 2012 Lauren Barack	The Fishbowl Effect As financial advisor ratings websites like BrightScope and Advice IQ proliferate, advisors are going to have to get comfortable with having their records a click away from clients and prospects.
Investment Advisor March 2006 Melanie Waddell	Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away.
Investment Advisor September 2010 Green & Sullivan	Optimists: The 20th Annual Broker/Dealers of the Year Any broker/dealer that isn't getting into continuity planning better hurry up or they'll be out of business.
Financial Advisor May 2006 Tracey Longo	What Have You Done For Me Lately? The race is on among independent broker-dealers to recruit more top fee-based advisors.
Financial Advisor June 2010 Jeff Schlegel	Who's Your Market? Some broker-dealers have niches that set them apart.
Investment Advisor September 2007 James J. Green	Leading the Way The leaders of the 2007 Broker/Dealers of the Year reflect their reps: optimistic, opinionated professionals whose business savvy is growing in a challenging environment
Registered Rep.	The Top 30 Independent Broker/Dealers in 2015 The list below is comprised of the 30 largest IBDs ranked by average assets under management per advisor, as of 2014.