Compensation and Fees
What leading financial advisors, experts and firms are saying about compensation and fees for registered representatives (both independent and employee) and registered investment advisors.
3 Ways RIAs Without a BD Have an Edge
By Jon HenschenIndependent RIAs enjoy benefits tied to dual clearing, open technology and compliance arrangements.
March 06, 2023
6 Steps for Building the Best Comp Plan for Your FirmLike clients' financial plans, advisors' compensation structures shouldn't be just about money.
February 23, 2023
Goodbye, Wirehouses: Why Young Financial Advisors Are Breaking AwayAt Dynasty, these advisors saw a chance to step off the sales treadmill and give fiduciary advice, they tell ThinkAdvisor.
February 22, 2023
Dan Wheeler, Influential DFA Leader, Dies at 77Millions of investors now enjoy fee-based advice and low-cost funds because of Wheeler's work.
February 13, 2023
8 Ways to Be Gracious When Prospects Don't Meet Your MinimumNot everyone will make a good client today, but there are good reasons to leave the door open.
February 09, 2023
Alan Moore to Step Down as AdvicePay CEOThe company's co-founder will shift to executive chairman of the board.
February 03, 2023
7 Ways to 'Future-Proof' Your Independent PracticeWhether a firm has one advisor or 100, creating the right succession plan isn't easy, but these tips can help.
January 30, 2023
Will 2023 Finally Deliver Fiduciary Clarity? CFPs Not Getting Hopes UpWidespread investor confusion about conflict-of-interest issues is a major challenge for advisors, Maura Mallaney says.