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Compensation

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How RIAs Use Peer Comparisons To Be Competitive

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The Schwab RIA Benchmarking Study prompts RIAs to make changes to be competitive and grow.

N.Y. Supreme Court Upholds State Fiduciary Rule For Annuities

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The decision is an opening salvo in a likely state-by-state industry battle over state standards.

The Subscription Model Comes To Luxury Travel With Inspirato Pass

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Subcription-model services have spread from Netflix and other media to luxury travel.

Hockey's Resignation As TD Ameritrade's CEO Startles Industry

by FA Staff

Hockey's Resignation As TD Ameritrade's CEO Startles Industry

FPA Supports CFP Board Standards Delay

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The Financial Planning Association says the delay will give advisors needed time to comply with new Standards of Conduct and Code of Ethics.

Cetera Moves Summit Into Cetera Advisor Networks

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Boca Raton, Fla.-based Summit Brokerage will shed its broker-dealer to become part of its super-OSJ unit.

CFP Board Considers Postponing Enforcement Of Fiduciary Code

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About 36,000 CFP professionals who are brokers or dually-registered do not operate under a higher fiduciary standard

Clayton Goes On Reg BI Defense At Investor Roundtable

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Clayton called criticism against Regulation Best Interest "misguided."

Asset Managers Drubbed By Ever Rising Costs As Fees Drop

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Asset manager expenses have outpaced revenue growth during the past four to five years.

Kitces: Financial Planning Is No Longer Enough To Win Clients Over

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Offering financial planning is not going to win or retain clients as the industry shifts, he said.

Survey: RIAs Tend To Stick With Their Unprofitable Clients

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Many advisors feel loyal to lower-tier clients who have been with them since the early days of their practices.

What Failures Will The SEC Look For In Reg BI Exams?

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What’s new, what’s next and when will the SEC begin exams looking for failures?

'Jury Still Out' On How Reg BI Will Impact Investment Advisors, IAA Exec Says

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While B-Ds celebrate the new rule, IAA is concerned it could blur the lines between investment advisors and brokers.

Wall Street Pay Proposal Being Negotiated By SEC, Bank Regulator

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The latest effort to impose restrictions on Wall Street bonuses is advancing.

Advisor Pay is Declining, Despite Explosive Need For Financial Advice

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The decrease in pay for financial advisors is in line with sluggish pay growth for many other white-collar professions.

Massachusetts One-Page Fee Disclosure Mandate Moves Closer To Reality

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The Institute For The Fiduciary Standard supports the disclosure proposal as “good first step.”

CFA Meets With SEC’s Clayton To Make Case For ‘Clean Shares’

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Currently, the SEC's Regulation Best Interest contains no mandate for the use of clean shares.

Tibergien: Advisor Firms Need To Get Younger, More Diverse

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“There are more CFPs over the age of 70 than under the age of 30,” consultant Mark Tibergien warned advisors.

Advisors Urged To Pay More Attention To Young Clients

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Fee-based financial advice for younger clients is the future of the advisory industry, this advisor said.

U.S. Employers Stepping Up Student Loan Assistance Programs

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Many businesses see such programs as a way to increase employee retention, says the EBRI.

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