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.
Jamie Hopkins: What Does 'Going Independent' Even Mean Now?
By John ManganaroMany of the places advisors wanted to break away from have adjusted their models and modernized.
December 14, 2023
Citigroup Offers Partial Early Bonuses to Encourage Staff DeparturesAlong with the bonus awards, employees who accept the offer could also keep all of their deferred stock awards.
December 14, 2023
UBS Intensifies Cash Clawback From Credit Suisse DefectorsThe bank's law firms are threatening legal action if the required amounts, estimated at under $750 million, aren't returned.
December 11, 2023
10 New Stats on How RIAs Hire and Pay Staff: SchwabAUM at firms offering incentive pay grew faster than at those that didn't, a new survey finds.
December 08, 2023
9 Questions You'll Get at Holiday Parties in 2023After a few drinks, people might start asking you about markets, investments or becoming a client.
December 04, 2023
A Closer Look at the DOL's Proposed Rollover RuleThe updates would maintain a commitment to ensuring that fiduciary advice is provided in retirement investors' best interest.
November 14, 2023
Nitrogen's Klein to Step Down, New CEO NamedKlein, who has been Nitrogen's CEO for 12 years, will remain on its board of directors.
November 10, 2023
Columbia Threadneedle Cuts 14 Portfolio ManagersAmid layoffs, most PMs and analysts from three U.S.-based equity teams will leave at year's end.