The Adviser Center

Tools for Transition

    Broker recruitment bonuses on DOL's radar

    Agency concerned about brokers who sell out client positions at old firm and generate commissions at new firm when they recreate investment portfolios

    How the DOL fiduciary rule could affect financial adviser recruiting

    Here are some ramifications the new rule may have on adviser movement in the industry

    SEC approves Finra broker-compensation rule

    The rule requires transferring brokers to send an educational communication to clients they are trying to convince to make the move with them

    Make your move

    Clearing Firm

    Company Spotlight

    Commonwealth Financial Network

    Commonwealth is home to advisors earning the highest average annual payout among independent broker/dealers, as reported by InvestmentNews (April 2015). Discover how the broker/dealer's RIA that's held true to its founding mission for more than 35 years can help you and your clients thrive. Learn More »

    Edward Jones

    A leader in the financial services industry and one of the industry's largest partnerships, Edward Jones serves nearly 7 million clients. Their unique business model, free from demands of shareholders, gives their more than 14,000 Financial Advisors the ability to put the interests of clients first. Learn More »

    Kestra Financial

    Kestra Financial leads the industry in wealth management, service and technology solutions,and practice enrichment. Our independent RIA and broker/dealer services are powered by over 20 years of industry experience and are taking flight to elevate the level of personalized service you deserve. Learn More »

    Schwab Independent Branch Services (Franchise)

    The Schwab Franchise is your chance to take control of your success like never before. With our unique franchise ownership model, Schwab Independent Branch Leaders leverage the power of Schwab's brand to gather assets, the strength of Schwab's infrastructure to efficiently operate their business and the integrity of the Schwab promise to always keep their clients' interests first. Learn More »

    Recent Companies

    Huber Financial

    Lincolnshire, IL

    Oakmont Corporation

    Los Angeles, CA

    Camden Capital, LLC

    El Segundo, CA

    Grove Street Fiduciary

    Peterborough, NH

    Thalassa Capital

    Santa Monica, CA

    Essex LLC

    Deer Park, IL

    Valeo Financial Advisors

    Indianapolis, IN

    Browse all companies

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