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.
Ex-Raymond James Rep in Hot Water Over Account Conversions: FINRA
By Melanie WaddellPaul Snow switched 13 advisory accounts to brokerage accounts and made trades without disclosing material facts, an order states.
March 09, 2026
What to Watch, What to Avoid in This Hot Advisor Deal Market: RecruiterFrank LaRosa discusses the mistakes advisors should avoid and which big firm might be next on the block.
March 05, 2026
Robinhood Pilots Advisor Referral NetworkMichael Kitces questioned the program's advisor fee structure.
February 10, 2026
Judge Dismisses Class-Action Suit Over Vanguard's $100 Exit FeeThe federal court allowed the plaintiff to amend and refile the complaint against the investment giant.
February 06, 2026
Schwab Readies $5 Block-Trade FeeSchwab Advisor Services' per-account charge for certain trades, effective March 2, could affect advisors' bottom line.
January 23, 2026
Bill Seeks to Modernize Advisor Payment RulesThe Clarity for Compensation Act would "permanently allow commission payments to be made directly to advisors' business entities."
January 12, 2026
Edward Jones Meets Pledge to Expand Advisor Profit AwardsA regulatory filing shows the expanded limited partner strategy, announced in November, is now in effect.
January 09, 2026
BNY Pershing to Launch RIA Referral ProgramExecutive Ben Harrison says significant scale gives BNY Pershing a unique opportunity to match advisors and investors.