Compensation

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RIAs Have Achieved 10% Annual AUM Growth Since 2017, Schwab Says

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Firms also saw 10.8% growth in revenues and 6.2% increases in clients, a company survey said.

Financial Trade Groups Balk At Biden's 'Junk Fees' Language

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Two groups say the new DOL fiduciary proposal will rob small investors of retirement services.

Investors Who Think They Know More May Pay Higher Fees

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But when their knowledge had been tested, their reported fees were lower, Finra says.

Should Clients Know Their Advisor's Net Worth?

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Advisors agree that they should be open with their clients about their personal finances.

Facing The Dreaded Non-Compete Clause? There Are Remedies.

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Non-compete clauses are increasingly out of favor politically, but larger RIAs are holding on tight.

Morgan Stanley Bonuses Raise Governance Question, Wells Fargo Analyst Says

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The bonuses raise questions about top executives' level of commitment, the analyst said.

Top-Earning U.S. Men See Wage Growth After 35 Even As Others See It Fade

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Incomes surged by roughly 435% between ages 25 and 35 among the highest-earning group.

Family Office Finds Success With Flat Fee Structure

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Alpha Capital Family Office has eschewed asset-based fees for its ultra-nigh-net-worth clients.

Advisors: Be Careful Charging Clients To Keep Cash In Low-Interest Sweep Accounts

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One consultant said he has seen advisors charge clients advisory fees that are higher than what they earn in these idle accounts.

The Real Career Path

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Careers begin where career tracks end.

Advantage Goes To Advisors

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Advisors have the upper hand in the broker-dealer recruiting wars.

SEC Warns Investors To ‘Do The Math' On Advisor Subscription Fees

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The fees may seem cheap, but they can gradually eat away an investment account, the SEC said.

SEC Safeguarding Proposal Would Hurt Investors, 26 Trade Groups Say

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The draft proposal erects barriers to annuities and other product sales, the coalition argues.

Merrill Lynch Sued By Former Advisor For Alleged Gender Discrimination

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The woman accused a male supervisor of "actively sabotaging" her career.

SEC Warns Investors To 'Do The Math' On Advisor Subscription Fees

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The fees may seem cheap, but can gradually eat away an investment account, the SEC said.

Future VC Equity Contracts Anything But Simple For Taxes

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These investment agreements don't have the benefit of clear IRS guidance, advisors say.

Changing Of The Guard

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The time you start building a business is the time you must start thinking about how to get out.

Wells Fargo To Pay $35M Penalty For Overcharging Advisory Clients

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The bank sometimes failed to implement promised reductions to advisory fees, the SEC said.

LPL's Top Advisors Earn Three Times More Than Their Peers, Study Finds

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The number one trait of top earners is that they operate like CEOs, the broker-dealer said.

U.S. Women Have Lost $61T To Gender Pay Gap Since 1960s, Study Says

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The gap adds up to a loss of $9,954 in wages per year for full-time, year-round female workers.

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