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.
Adam Malamed Reflects on First Year as Sanctuary Wealth CEO
By John ManganaroHe has been working on strategic acquisitions "since before it was cool to be independent," he says.
January 31, 2024
How Envestnet Is Powering a New Approach to Serving Wealthy ClientsEnvestnet is seeing high demand for both high-end and low-end client suppport, Dana D'Auria says.
January 18, 2024
DOL Proposes Regs to Help Job Changers Move 401(k)s AutomaticallyBiden administration officials say automatic portability will reduce cash-outs of small retirement account balances.
January 11, 2024
Advisors Battle Morgan Stanley Over Deferred Comp 'Clawback'About a dozen former advisors say the firm improperly withheld deferred compensation in violation of ERISA.
January 09, 2024
Cambridge Launches New Fee-Only RIABridgePort Financial Solutions, led by Eddie Rollins, will acquire stakes in small and midsize firms.
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.