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.
Merrill Moves to Trailing 12-Month Advisor Comp Structure
By Jeff BermanThe firm is shifting away from its retroactive comp structure and dropping the team grid's Transfer Account Policy.
September 30, 2021
Kitces: The 5 Trends Shaking Up the Advisor WorldA new wave of technological disruption is here, Michael Kitces says. What's an advisor to do?
September 23, 2021
4 SEC Hot Buttons Advisors Should Address ImmediatelyThe agency is in a prickly mood, and may compel advisors to reimburse clients if certain disclosures aren't met.
September 21, 2021
How Proprietary Advisory Platforms Conflict With Fiduciary StandardsTo keep assets flowing to their best profit centers, some BDs are keeping their advisors in the dark on better offerings.
September 16, 2021
Edward Jones Plans Pay Equity Studies, $150M in DonationsThe firm's initiatives include an anticipated $150 million in philanthropic contributions in the U.S. and Canada in the next five years.
September 15, 2021
Quarter of RIAs Now Charge Flat Fees: StudyIn a survey Advyzon also asked advisors how they preferred to bill their clients.
September 02, 2021
Inflation Fears, Labor Woes Dim Execs' Optimism: SurveyAICPA found that 77% of executives surveyed are particularly concerned about raw material and labor costs.
August 27, 2021
Advisory Firm to Pay Nearly $2M to SEC Over 12b-1 Fees, Revenue SharingThe firm's mutual fund share class selection practices resulted in an unaffiliated BD receiving three types of fees.