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.
Fidelity Rolls Out Indie Hub to Draw Breakaway Advisors
By John ManganaroJust half of advisors say they're knowledgeable about firm types and independence models, survey data shows.
August 07, 2023
Beware, the SEC Is Coming for You!The current administration seems to believe advisors get paid too much for doing too little; the industry must push back.
July 20, 2023
The Bar for Advisors Has Been Raised: MyVest CEOClient expectations are increasingly being elevated by their digital experiences elsewhere, says Anton Honikman.
July 11, 2023
Raymond James to Pay $13M Over High FeesThe firm agreed to pay $4.5 million in fines to state regulators and to return $8.25 million plus interest to clients.
June 27, 2023
Ignore These Advisor Succession Trends at Your Own PerilA lack of succession planning by established financial advisors could result in painful disruptions for firms and their clients.
June 12, 2023
10 Proven Strategies for Adding Top Advisors to Your FirmNeed to source great talent for your wealth management firm? Consider these insights from two recruiting experts.
June 07, 2023
California Annuity Sales Rule Bill Faces Consumer Group OppositionThe consumer groups want to require agents to disclose cash compensation.
May 05, 2023
Raymond James Preps for DOL's Independent Contractor ProposalLeaders at Raymond James say they're getting ready for both best- and worst-case scenarios.