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.
Senate Bill Would Increase Transparency Of 401(k) Fees
By Matt BradySen. Herb Kohl, D-Wis., said he intends to introduce legislation designed to increase transparency of 401(k) fees at a hearing of the Senate Special Committee ...
October 11, 2007
The Danger of Underpaying Non-Owner AdvisorsI just had a chance to look at the new 2007 Moss Adams Compensation and Staffing Study of Advisory Firms for my next column (the...
October 05, 2007
Independents Push For Universal Plan Fee Breakdown RulesRequiring all 401(k) plan companies to provide detailed cost reports would be a big help both to independent plan service providers and to plan sponsors.Thomas ...
October 04, 2007
Independents Push For Universal Plan Fee Breakdown RulesRequiring all 401(k) plan companies to provide detailed cost reports would be a big help both to independent plan service providers and to plan sponsors.Thomas ...
October 01, 2007
Ask These QuestionsAs part of your due diligence process when you are considering purchasing another firm, there are certain bits of information you must uncover. Following are...
October 01, 2007
James P. DewDew Wealth Management 8800 East Raintree Drive, Suite 115 Scottsdale, Arizona 85260 Phone: 480-614-9119 Web site: www.dewwealth.com E-mail: [email protected] Year practice started: 1999 AUM: $45 million Compensation: Fees and commissions Number of clients: 200...
October 01, 2007
Transparency and RespectThere's been much debate recently among regulators, industry associations, and advisors themselves about fiduciary responsibility. Jim Dew, principal and sole practitioner of Dew Wealth Management...
October 01, 2007
What Color Is Your Firm?The growth of financial advisory firms reveals distinct phases of firm development. We've observed that each stage has unique characteristics, challenges, and opportunities that must...