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.
7 Ways to Answer 'How Much Do You Charge?'
By Bryce SandersAdvisors help clients plan for financial independence yet are often given pushback on fees.
April 30, 2025
The 1% AUM Fee Is Fading: CerulliFinancial professionals must adapt their fee structures to cater to the next generation of clients, a study found.
April 24, 2025
What to Make of LPL’s Loan Forgiveness Pledge for Commonwealth AdvisorsThe move was labeled an "interesting concession from LPL" by advisor, author and speaker Michael Kitces.
April 22, 2025
What Advisors Should Know When Their BD Gets AcquiredCommonwealth is far from the only BD caught up in the ongoing consolidation wave, recruiter Jodie Papike says.
March 26, 2025
UBS Delays Advisor Pay Cut From 12b-1 FeesThe delayed cuts are separate from other compensation changes UBS made this year.
March 20, 2025
Cambridge to Pay $15M Over Revenue Sharing, Wrap Account ConflictsThe firm will pay $10 million in disgorgement, $3 million in interest and a $1.8 million SEC fine.
March 20, 2025
Stifel Hit With Class Action Suit Over Cash SweepsIn 2023, the firm earned 6.08% on deposits and paid as little as 0.01%, the complaint states.
March 18, 2025
72% of Advisor Revenue Is Fee-Based: CerulliIn contrast, commission-based revenues have plummeted to 23% of an average advisor’s revenue, the study found.