The SEC on ADV Disclosure, Aaron Rodgers and the Robare Decision
The multiple, troubling parallels between a TV commercial starring the Packers’ quarterback and the SEC’s overkill on the Robare conflict-of-interest case.
Is Your Broker-Dealer in a Death Spiral? 4 Steps to Discovery
A BD’s management will rarely share problems at the firm until it’s too late. Here’s how reps can overcome that challenge, according to Jon Henschen.
Financial Services Explained, Pt. 3: The Levels of Independent Advice
In this post in our series, an explanation of the different affiliation models of professional advice-givers, aka advisors.
How the Best Advisors Are Like Olympic Athletes
The next generation of advisors is talented, adaptable and looking for guidance from the industry’s pioneers.
In DOL/Post-DOL Fiduciary World, RIAs Need to Re-Differentiate
How RIAs should respond to what's likely to be a new wave of deregulation.
Your 2017 Incentive Plans: Be Careful What You Pay Staff to Do
One takeaway: Incentives based on individual competition do not motivate employees to work together, nor benefit the firm.
Flat Fees: Not as New as You Think
I know many advisors who instituted retainers but then switched back to an AUM compensation model; the benefit was to them and their clients.
Does Your Fee Schedule Need an Overhaul?
Commissions? Fees? Retainers? Why there is no such thing as the perfect fee schedule.
Can Trump, GOP Stop DOL Rule? Not Likely
Political movement has created doubt in the industry over whether to continue investing in technology to comply with a best interest standard.
Are Robo-Advisors Really Better Fiduciaries Than RIAs?
Yes, digital advice platforms offer low fees, but is that enough to make them superior fiduciaries, or even fiduciaries at all?