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.
California Annuity Sales Rule Bill Faces Consumer Group Opposition
By Allison BellThe consumer groups want to require agents to disclose cash compensation.
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.
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.