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.
Advisor, Broker Sentiment Brightest Since Financial Crisis: Fidelity
By Melanie WaddellAdvisors and brokers are taking action to generate new business, placing greater importance on compensation, developing professionally and receiving marketing support.
September 25, 2012
Simplicity ItselfAs Ive noted before, I dont usually write about the people or the companies that I consult with, due to the obvious conflicts of interest.
September 05, 2012
Morgan Stanley Loses Two Teams, Ex-NFL Player to Barclays, AmeripriseThe New York group includes ex-Jets receiver Wayne Chrebet, while the New Haven team moves with close to $1 million in production.
August 29, 2012
Breakaway Brokers May Be Driving Up AUM FeesAnswering one CPA/advisor reader's query about raising fees prompts a closer look at fees over all: Charge more? Charge separately? How will clients react? All is revealed
August 17, 2012
Changing Voting Standards Start to Threaten Corporate DirectorsA high level of withhold votes for corporate board nominees is an indicator of investor concern with a specific company, according to a study released Thursday by the Investor Responsibility Research Center Institute.
July 11, 2012
Hourly Advice Sounds Good, but for Most Advisors, It Just Doesn’t PencilSo you want to smooth out revenues, advisor, and think hourly fees are the answer? There are some problems with that scenario
June 29, 2012
Fees and Fiduciary: Good Business, Bad Marketing, Pt. 2What do todays affluent investors really want? One implication of the Sullivan/Northstar research: advisors who frequently talk about fiduciary could actually reduce trust with prospective clients.
June 26, 2012
Fiduciary Duty: Best Execution ObligationsAs indicated in last months column (see Fiduciary Duty: Best Practices for Fulfilling Suitability Obligations, Investment Advisor, June 2012), the United States Supreme Court, in 1963, held in SEC v. Capital Gains Research Bureau Inc. that the Investment Advisers Act of 1940 imposes a fiduciary duty on advisors by operation...