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.
LPL CEO's Pay Rises 77%
By Jeff BermanDespite the pay bump, Dan Arnold's pay is considerably less than CEOs at rival firms including Morgan Stanley.
March 30, 2022
Which Countries Have the Lowest Fund Fees?Price wars in the ETF space have continued to put downward pressure on fund fees worldwide, Morningstar reports.
March 24, 2022
SEC Prevails in 12b-1 Fee Case Against Advisory FirmRather than settle, the firm says it spent two years fighting to stop the SEC's push to create "new regulation without following the formal rule-making process."
March 23, 2022
10 Ways to Help Prospects Who Want IncomeThey have questions about your advisory firm. What are the income-producing investment choices you can offer them?
March 10, 2022
9 Most Overpaid CEOs in Financial ServicesThese execs' performance doesn't justify their pay packages, according to As You Sow.
March 01, 2022
RIAs Defend Their Turf Through Service Expansion: CerulliRIAs are adding high-end services to stand out as BDs are looking more and more RIA-like.
February 14, 2022
Why Working With Strippers Makes Sense for Financial Planners"There's value to working with stigmatized groups and in markets that aren't overly saturated," CFP Lindsey Swanson says.
February 09, 2022
Why IBDs Are Changing Their Recruiting DealsCommonwealth now bases forgivable notes on AUM instead of production levels, following a similar move by LPL.