Independent Broker-Dealer Survey

2023 Independent Broker-Dealer Survey: IBDs Invest In Reps' Succession

by

As the world changes, the bonds tying broker-dealers to their reps might have to be broken to be reset.

2022 Independent Broker-Dealer Survey: The Big Blur

by

Broker-dealers are trying to look more like RIA custodians, but it was the fees they charge, sometimes opaque ones, that helped them win big during the pandemic.

2021 Independent Broker-Dealer Survey: IBDs Navigate The Pandemic

by

A market upswing helped save this industry in 2020 and recruiting kept its pace.

2020 Independent Broker-Dealer Survey: Changing Times, Changing Tides

by

Independent broker-dealers take a page from the RIA handbook.

2019 Independent Broker-Dealer Survey: IBDs In Lush Times

by

The economic environment is making life sweeter for broker-dealers, but it favors the big ones.

2018 Independent Broker-Dealer Survey: The Big Rethink

by

Amid vast industry changes, broker-dealers must consider reinventing themselves.

2017 Independent Broker-Dealer Survey: No Going Back

by

Broker-dealers will continue to reinvent themselves, whether or not the DOL rule moves forward.

2016 Independent Broker-Dealer Survey: DOL Storm Watch

by

B-Ds worry that the new DOL rule will mean a radical change to business.

2015 Independent Broker-Dealer Survey: The Next Rung

by

Faced with higher costs and tepid recruiting, broker-dealers want to grow organically

2014 Independent Broker-Dealer Survey: Indies Ascend

by Dan Jamieson

Pressures are increasing, particularly on small independent b-ds, but various trends are creating plenty of opportunity for the industry overall.

2013 Independent Broker-Dealer Survey: Ramping Up The Game

by Jerilyn Klein Bier

Independent B-Ds are trying to boost margins while delivering more services to financial advisors.

2012 Independent Broker-Dealer Survey: Swimming In Shallow Water

by

Broker-dealers face a stagnant rep pool, shrinking margins and the choke hold of regulators. But it's been a boon to the biggest consolidators.

2011 Independent Broker-Dealer Survey: Is Uniformity Possible?

by

Broker-dealers expect some changes if a new fiduciary standard is adopted.