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.
The Bar for Advisors Has Been Raised: MyVest CEO
By John ManganaroClient expectations are increasingly being elevated by their digital experiences elsewhere, says Anton Honikman.
June 07, 2023
California Annuity Sales Rule Bill Faces Consumer Group OppositionThe consumer groups want to require agents to disclose cash compensation.
May 05, 2023
Raymond James Preps for DOL's Independent Contractor ProposalLeaders at Raymond James say they're getting ready for both best- and worst-case scenarios.
April 25, 2023
How Banking Woes Create Business for AdvisorsScott Curtis, head of Raymond James' Private Client group, explains the firm's growth goals, regulatory pressures and outlook on the industry.
April 10, 2023
How to Make Your Fees Part of Clients' Tax StrategyDoes it make more sense to take advisory fees from traditional IRAs or Roths? I asked Jeff Levine.
March 22, 2023
3 Ways RIAs Without a BD Have an EdgeIndependent RIAs enjoy benefits tied to dual clearing, open technology and compliance arrangements.
March 10, 2023
Complex Comp Plans Vex Wirehouse Advisors: CerulliIf they want to keep their advisors from jumping ship, wirehouses may want to rethink their pay structures.
March 06, 2023
5 Advisors Warn: Don't Dabble in 401(k) Plans!Advising retirement plans, while a great potential revenue source, is more complex than serving individuals, Jamie Hopkins and others say.