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Compensation

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RIA Growth Will Continue At Brokerages' Expense

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As growth in the RIA channel continues, more brokerage representatives are considering breaking away, says TD Ameritrade.

Three Key Advisor Trends To Watch In 2020

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Reg BI, along with longevity and financial wellness issues, will impact the wealth management industry, says Aite.

Maxine Waters Joins Dodd And Frank To Challenge SEC’s Reg BI

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Maxine Waters joins several current and former elected officials in opposing the SEC's Regulation Best Interest.

Stuck On The Middle

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The bald truth is that instead of catering to the most in need, this profession caters to those most able to pay.

Advisors Should Regularly Assess Their Fees

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Advisors may be shortchanging themselves by not updating their fees when services change, a TD exec said.

Former Ladenburg Chair Files Suit To Block Advisor Group Merger

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Former Ladenburg Thalmann chairman Phillip Frost seeks an injunction to prevent the merger.

The Conundrum Of Balancing Ownership And Contribution

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You have to reconcile the rewards to those who built a business and those who own it.

Even The Hottest Traders Face Bleak Bonuses In 2019

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It just doesn't pay (as well) to be a trader on Wall Street anymore.

Big RIA Execs Win Hefty Pay Raises, Co-Workers Not So Much

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Big firms are getting bigger -- and more of the rewards are going to owners and other top executives, says Pershing.

Kitces To Advisors: Differentiate Yourself Or Die

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Increased competition means that advisors have to find their own client niche, he said.

Large RIAs Poised To Dominate The Industry, Ex-Wirehouse Exec Predicts

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Large RIAs have the size and scale to place more focus on both organic and inorganic growth, Dynasty CEO Shirl Penney said.

FPA Names TD Ameritrade's Schweiss As 2020 President-Elect

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Schweiss currently serves on the FPA board of directors and as president of NAPFA's Consumer Education Foundation.

Fiduciary Pundits Weigh Odds Of Lawsuits To Overturn Reg BI

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Verdict could turn on the SEC's lack of authority to exclude brokers from advisor regulations.

SEC’s Next Top Target? Advisor Revenue Sharing

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The SEC's share class initiative may lead to robust spate of legal complaints and a new initiative.

Jackson National Suspends N.Y. Fee-Based Annuity Sales

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The insurer said it needs time to comply with new state fiduciary rules that cover all annuity and insurance sales.

CFA Institute Building Tools So Investors Can Understand B-D Conflicts, Costs

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Concerned that the SEC's Regulation Best Interest "missed the mark," the CFA Institute steps in.

When Subscription Fees Work

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A different business model for an emerging clientele.

How Much To Pay For A Client?

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What bonuses do and can’t do to drive growth.

New Hampshire Law Empowers Advisors To Protect Senior Clients From Financial Fraud

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The FPA backed a similar law that was enacted in Arizona earlier this year.

Study: IWI Advisors Adopting Independent Models, Advisory Fees

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Members of the group formerly known as IMCA also are making less use of mutual funds, annuities and alternatives.

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