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.
11 Prospecting Mistakes to Avoid
By Bryce SandersThese common pitfalls can lead to lost business.
October 06, 2023
Investors Who Know More Pay Lower Fees, Study FindsBut the correlation did not hold for investors who merely rated their own investment knowledge highly.
August 08, 2023
Hiring Today Is Tough. Here's How to Get It Right.Advisor turnover gives firms the chance to hire replacements with better, and clearer, expectations.
August 07, 2023
Beware, the SEC Is Coming for You!The current administration seems to believe advisors get paid too much for doing too little; the industry must push back.
July 20, 2023
The Bar for Advisors Has Been Raised: MyVest CEOClient expectations are increasingly being elevated by their digital experiences elsewhere, says Anton Honikman.
July 11, 2023
Raymond James to Pay $13M Over High FeesThe firm agreed to pay $4.5 million in fines to state regulators and to return $8.25 million plus interest to clients.
June 27, 2023
Ignore These Advisor Succession Trends at Your Own PerilA lack of succession planning by established financial advisors could result in painful disruptions for firms and their clients.
June 07, 2023
California Annuity Sales Rule Bill Faces Consumer Group OppositionThe consumer groups want to require agents to disclose cash compensation.