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.
UnitedHealth Invests In Claims Venture
By Staff WriterUnitedHealth Group Inc. has bought a minority interest in Fidelity Sedgwick Holdings Inc.Fidelity Sedgwick, Memphis, Tenn., is a unit of Fidelity National Financial Inc., Jacksonville, ...
April 02, 2008
Witnesses Clash Over Plan Disclosure RulesGroups representing large and small benefit plan service providers are continuing to battle over proposed reporting regulations.Witnesses squared off Monday at a hearing organized by ...
March 01, 2008
Words of WisdomLike many baby boomer financial advisors today, a number of my clients are approaching what you might call retirement age. Of course, these days, that...
February 01, 2008
More Than WordsLarge organizations consist of many layers, from the CEO and the board of directors down to the client-facing advisor. Just like the game of telephone...
February 01, 2008
Constructive EngagementIt's a well known that investors love steady returns and hate surprises. With more media scrutiny of Wall Street than ever and news reaching investors...
January 01, 2008
People Who Need PeopleIf there was any question that Mark Tibergien might go corporate, his prepared and off-the-cuff comments delivered at the second annual Investment Advisor-Moss Adams Advisor...
December 14, 2007
Proposed Plan Regs Require Glimpse Inside The BundlesThe Employee Benefits Security Administration wants providers of bundled benefit plan services to give plan fiduciaries specific information about some vendors' compensation.EBSA, an arm of ...
December 12, 2007
Make It Big by Getting It RightWhen speaking about the optimal size of a financial firm, many industry experts seem to prefer a "super-size" strategy--as if more is not only more, but better. So is it rational to assume that the more an advisory practice is growing, the stronger and more profitable the business? Not necessarily....