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.
UBS Grabs 4 Merrill Advisors in California, Florida
By Janet LevauxThe FAs have total yearly production of $2.1 million and assets of $800 million
June 01, 2011
Who’s Responsible?Recently, an advisor called me for help. He said his employees weren’t motivated, and he needed a better compensation program to improve the situation.…
May 31, 2011
Nationwide CFO Takes on Executive Comp RegsNationwide Mutual Insurance Company has asked federal financial services regulators to exclude insurers with small thrifts from proposed compensation limits.
May 31, 2011
Nationwide CFO Takes on Executive Comp RegsNationwide Mutual Insurance Company has asked federal financial services regulators to exclude insurers with small thrifts from proposed compensation limits.
May 31, 2011
No-Load Share Classes Without 12b-1 Fees Tops in Mutual Fund Sales: Strategic InsightNo-load share classes, particularly those without 12b-1 fees, have become "the single most important share class in mutual fund sales through intermediaries," according to a new study by Strategic Insight (SI).
May 18, 2011
Caveat Emptor for 401(k) Plan SponsorsMost plan sponsors are unaware of their fiduciary duty and can be liable for fines and penalties as the DOL steps up enforcement.
April 21, 2011
Should You Be Charging More for Your Advisory Services?PriceMetrix study suggests advisors are undercharging for their services. Are you?
April 19, 2011
2011 Q1 Earnings: Goldman Profits Fall 21% as Bank Pays Warren Buffett BackGoldman Sachs reported Tuesday Q1 2011 profits of $2.74 billion, down 21% from a year ago, after buying back Warren Buffett’s preferred stock.