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 Gives Fee-Only Advisors New Model
By Janet LevauxIt announced the new corporate RIA model ahead of its Elevate conference May 16-18 in Nashville, Tennessee.
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?
March 30, 2022
Which Countries Have the Lowest Fund Fees?Price wars in the ETF space have continued to put downward pressure on fund fees worldwide, Morningstar reports.
March 24, 2022
SEC Prevails in 12b-1 Fee Case Against Advisory FirmRather than settle, the firm says it spent two years fighting to stop the SEC's push to create "new regulation without following the formal rule-making process."
March 23, 2022
10 Ways to Help Prospects Who Want IncomeThey have questions about your advisory firm. What are the income-producing investment choices you can offer them?