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.
The Case for Charging Both AUM and Flat Fees
By Bob ClarkRather than an either/or solution, Deborah Fox's "AUM plus fees for specific services" model provides value to clients while smoothing the advisory firm's revenue stream.
June 04, 2015
Your answer to the fees questionProspects challenging you on the fees you charge? Answer those questions with a value conversation.
June 01, 2015
Go Beyond Compensation to Keep Employees HappyThere are a lot of different kinds of financial advisors in America these days, and they all have very different business models.
May 28, 2015
3 reasons to avoid an IRA rolloverAhead of the DOLs final fiduciary rulemaking, advisors need to brush up on when a rollover is not in a clients best interest.
May 26, 2015
3 Reasons to Avoid an IRA RolloverAdvisors need to brush up on the technical aspects of 401(k) rollovers, which are not always in clients' best interests.
May 04, 2015
UBS Rolls Out New Succession PlanUBS Americas has rolled out a new succession program for its advisors. The effort, which has a five-year timeline, is called the Aspiring Legacy Financial…
April 23, 2015
Advisors, Staffers Unhappy With Pay: FPA StudyOnly about a quarter of advisory firm employees are satisfied with their pay, and about a quarter plan to change jobs soon, the study found.
April 20, 2015
Schorsch Accused of $900M Fee-Driven SchemeBehind the accounting errors that knocked $4 billion off ARCPs market value was a hidden scheme, investors said in a lawsuit.