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.
Raymond James Preps for DOL's Independent Contractor Proposal
By John ManganaroLeaders at Raymond James say they're getting ready for both best- and worst-case scenarios.
March 22, 2023
3 Ways RIAs Without a BD Have an EdgeIndependent RIAs enjoy benefits tied to dual clearing, open technology and compliance arrangements.
March 10, 2023
Complex Comp Plans Vex Wirehouse Advisors: CerulliIf they want to keep their advisors from jumping ship, wirehouses may want to rethink their pay structures.
March 06, 2023
5 Advisors Warn: Don't Dabble in 401(k) Plans!Advising retirement plans, while a great potential revenue source, is more complex than serving individuals, Jamie Hopkins and others say.
March 06, 2023
6 Steps for Building the Best Comp Plan for Your FirmLike clients' financial plans, advisors' compensation structures shouldn't be just about money.
February 23, 2023
Goodbye, Wirehouses: Why Young Financial Advisors Are Breaking AwayAt Dynasty, these advisors saw a chance to step off the sales treadmill and give fiduciary advice, they tell ThinkAdvisor.
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 09, 2023
Alan Moore to Step Down as AdvicePay CEOThe company's co-founder will shift to executive chairman of the board.