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.
United Capital Delivers a Richer Digital Client Experience
By Emily ZulzUnder the new client experience system, firms no longer need to transition their client data to a new CRM.
March 14, 2018
8 Innovative Advisor Fee StructuresA new report from Simon-Kucher & Partners says innovation is needed in advisors' fee structures and provides examples.
February 07, 2018
Massachusetts Floats Fee Table Requirement for AdvisorsIt is no longer the case that advisors only charge their clients a fee for assets under management, Secretary Galvin says.
February 05, 2018
Wells Fargo Moves to Resolve Another ‘Phantom Accounts’ Whistleblower CaseThe bank was negotiating a settlement as recently as last month with a former executive in Colorado who claimed she was unlawfully fired.
January 18, 2018
Morgan Stanley Wealth Management Fees Climb to All-Time HighWealth management has only increased in relevance as its continued to grow, Morgan Stanleys CFO says.
December 27, 2017
Small Businesses Overpaying for 401(k) Plans: StudyThese 533,000 small plans are overlooked by many trend studies, America's Best 401k says.
December 01, 2017
Risks Lurk in DOL Rule Exemption for ‘Clean Shares’Problems lie ahead if Labor issues "too broad" or "too narrow" a definition of clean mutual fund shares, says Aron Szapiro of Morningstar.
November 10, 2017
Brokers ‘Not Happy’ With Merrill’s New Comp Plan: RecruiterDanny Sarch criticizes the bonus hurdles, while other industry watchers say the targets are achievable.