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.
Will Fidelity Steal Advisors' Rollover Lunch?
By John ManganaroFidelity's new platform could lead more retirees to annuitize their 401(k) instead of rolling it into an advised account.
September 19, 2022
SEC Warns Investors on Performance ClaimsThe commission tells investors to make sure they understand how performance claims are calculated and presented.
September 13, 2022
Penny Phillips, Dave Welling, Jason Wenk: How to Serve More Clients, BetterThe three CEOs highlight how advisors can embrace change and build trust.
September 12, 2022
5 Common-Sense Ways to Explain Fees to ClientsGood advisors provide great value to clients, but advice comes at a cost. How do you explain it?
September 09, 2022
SEC 12b-1 Fee, Custody Rules Likely Out by Year-EndBoth rules "are currently in the works," says compliance consultant Amy Lynch.
September 08, 2022
SEC Strikes Again on 12b-1 Fees, Fining Another RIAAventura Capital Management must pay more than $900,000 for 12b-1 fee and revenue sharing infractions.
September 08, 2022
How RIA Culture Is Shifting, in 7 ChartsLarge firms have taken particularly big hits to culture and employee retention in the past two years, DeVoe & Co. finds.
August 31, 2022
6 Tips for Advisors When Talking Fees With ClientsAdvisors often make the fee conversation more awkward and complicated than it should be, Kitces and others say.