CFP Board Sanctions 2 More CFPs Over ‘Fee-Only’ Comp Status
CFP Board has issued public disciplinary actions against two CFPs for misrepresenting their compensation method as "fee-only."
5 New Compliance Headaches for Advisors, BDs
As Labor Day approaches, here are five big compliance developments advisors may have missed in recent months.
Recruiting Roundup: Morgan Stanley Grabs $1B Pair From Citi
The team comes on board in New York, while a Barclays rep joins the wirehouse in Boca Raton.
Advisor M&A on a Tear in 2015: Schwab
Both the number and value of deals increased in the first half of the year; the average deal size was $1.3 billion in AUM.
Flat Fees vs. AUM Recap: The Good, the Bad and the Really?
During the past few months, there has been considerable discussion about the relative advantages of charging clients flat retainer fees as opposed to AUM fees.
Relationships End Where They Begin
In his 2007 book “Blink,” Malcolm Gladwell combines a broad spectrum of research to make the case for the power of first impressions.
Is Going Robo the Secret to Growing Your RIA?
As Tina Powell of Beacon Wealth launches SheCapital, an automated service for women, experts discuss how, and whether, to use robo-advice to reach more clients.
Small-Business 401(k)s Follow Large-Plan Trends: Vanguard
Vanguard has released its small-business-focused How America Saves report, which found small 401(k) plans are mirroring trends seen at larger companies.
Are Treasury’s AML Rules for Advisors a Waste of Time?
IAA is looking at FinCEN’s proposed anti-money laundering rules to assess whether the expected benefits justify the compliance costs.
Advisors’ 4 Biggest Concerns: Eaton Vance
Nearly three-quarters of advisors report at least some concern about a near-term increase in interest rates, according to an Eaton Vance survey.