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.
DOL Proposes Regs to Help Job Changers Move 401(k)s Automatically
By John ManganaroBiden administration officials say automatic portability will reduce cash-outs of small retirement account balances.
January 08, 2024
Jamie Hopkins: What Does 'Going Independent' Even Mean Now?Many of the places advisors wanted to break away from have adjusted their models and modernized.
December 20, 2023
What Clients Should Do With Their Year-End Bonus: Advisors' AdviceFinancial professionals offer up a number of suggestions, from following the "rule of thirds" to going "YOLO."
December 15, 2023
CEO Exits, Layoffs Signal Private Equity's Growing Impact on Wealth ManagementSeveral big changes in leadership highlight how PE firms are making their presence felt beyond investment dollars.
December 14, 2023
Citigroup Offers Partial Early Bonuses to Encourage Staff DeparturesAlong with the bonus awards, employees who accept the offer could also keep all of their deferred stock awards.
December 14, 2023
UBS Intensifies Cash Clawback From Credit Suisse DefectorsThe bank's law firms are threatening legal action if the required amounts, estimated at under $750 million, aren't returned.
December 11, 2023
10 New Stats on How RIAs Hire and Pay Staff: SchwabAUM at firms offering incentive pay grew faster than at those that didn't, a new survey finds.
December 08, 2023
9 Questions You'll Get at Holiday Parties in 2023After a few drinks, people might start asking you about markets, investments or becoming a client.