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.
RIAs Defend Their Turf Through Service Expansion: Cerulli
By Michael S. FischerRIAs are adding high-end services to stand out as BDs are looking more and more RIA-like.
February 04, 2022
Will the SEC Ban 12b-1 Fees?Their use is declining as the SEC targets conflicts of interest. But are they a "lesser evil"?
February 02, 2022
Here's How Much RIAs Pay Their Employees: SchwabRIA firms are increasingly offering more than traditional compensation to compete for talent, according to a report from Schwab.
December 30, 2021
'Upfront Money Should Be a Spice, Not a Main Course': Recruiter Jon HenschenForgivable notes "should not be a primary motive for moving, by any means," Henschen tells ThinkAdvisor.
December 15, 2021
Wells Fargo Simplifies Comp Hurdles for 2022At the same time, the wirehouse has enhanced the bonus opportunities for its registered representatives.
December 14, 2021
RIAs 'Must Do More to Justify Their Fees': Mariner Wealth's BicknellThe executive also weighs in on working at the office, what books he's reading and his favorite sport.
December 07, 2021
CFP Exams Start March 8The 2022 exam will include an updated list of principal knowledge topics, according to the Certified Financial Planner Board of Standards.
December 03, 2021
Morgan Stanley Adjusts Advisor Incentives for 2022 but Keeps Grid IntactStarting in July, net acquired asset growth will be focused on all client balances.