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.
5 Advisors Warn: Don't Dabble in 401(k) Plans!
By John ManganaroAdvising retirement plans, while a great potential revenue source, is more complex than serving individuals, Jamie Hopkins and others say.
February 22, 2023
Dan Wheeler, Influential DFA Leader, Dies at 77Millions of investors now enjoy fee-based advice and low-cost funds because of Wheeler's work.
February 13, 2023
8 Ways to Be Gracious When Prospects Don't Meet Your MinimumNot everyone will make a good client today, but there are good reasons to leave the door open.
February 09, 2023
Alan Moore to Step Down as AdvicePay CEOThe company's co-founder will shift to executive chairman of the board.
February 03, 2023
7 Ways to 'Future-Proof' Your Independent PracticeWhether a firm has one advisor or 100, creating the right succession plan isn't easy, but these tips can help.
January 30, 2023
Will 2023 Finally Deliver Fiduciary Clarity? CFPs Not Getting Hopes UpWidespread investor confusion about conflict-of-interest issues is a major challenge for advisors, Maura Mallaney says.
January 27, 2023
401(k) Income Solutions Threaten IRA Rollovers"In-plan" income solutions could go mainstream sooner than you think, Raymond James' Don MacQuattie tells ThinkAdvisor.
January 26, 2023
Do This Instead of Moving Up Market: Skip SchweissThe former TD Ameritrade exec, now CEO of Sierra Investment Management, tells ThinkAdvisor what RIAs should focus on.