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.
SEC Hits Madison Avenue Securities Over Revenue Sharing, 12b-1 Fees
By Melanie WaddellThe firm must pay more than $800,000.
May 13, 2022
Raymond James Gives Fee-Only Advisors New ModelIt announced the new corporate RIA model ahead of its Elevate conference May 16-18 in Nashville, Tennessee.
May 06, 2022
15 Best-Paying Metro Areas for Financial Advisors: 2022SmartAsset compared the 50 largest metro areas and found big differences in advisor compensation.
April 28, 2022
Why RIA Advisors Are Better Fund Pickers Than BD Reps: StudyDual registrants act more like BD advisors when selecting funds, mainly basing decisions on past performance, David Blanchett says.
April 12, 2022
LPL CEO's Pay Rises 77%Despite the pay bump, Dan Arnold's pay is considerably less than CEOs at rival firms including Morgan Stanley.
April 05, 2022
Trendspotter: SEC Cracks Down on Revenue Sharing, Including 12b-1 FeesRevenue sharing arrangements continue to be an SEC exam focus this year.
April 01, 2022
13 Tips for Getting More ClientsMichael Kitces, advisor Nina O'Neal and others discussed how to market to prospects and turn them into clients.
March 31, 2022
Is James Gorman Afraid of the Big Bad Wolf of Independence?The Morgan Stanley CEO wants advisors to be in the office 75% of the year. Does that make sense?