Compensation

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Alarming Amounts Of Money Are Leaving Retirement Plans, Says Morningstar

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That decrease cuts the leverage that retirement plan sponsors have in negotiating with asset managers.

CFP Board Issues Three New Guides For CFP Licensees

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The Certified Financial Planner Board of Standards Inc., headquartered in Washington, D.C...

Back Offices In Transition

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Word has it that some of Wall Street's most sophisticated institutional brokerage firms are discovering that competing with the big IBDs and custodians is a lot harder than they imagined.

Broad Consumer Coalition Urges DOL To Speed Up Fiduciary Rule Update

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The carve-outs for financial “education” and lack of a monitoring need revision, the group says.

The Growth, Culture and Compensation Paradox

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There are downsides to growth if you don't do it correctly.

Goldman Sachs Wants Its Bonuses Back As Punishment For Jumping Ship

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The bank has done away with niceties even with veterans who've spent decades there.

Should Advisors Negotiate On Price?

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Sometimes discounting is necessary to win business. You should have a strategy.

The Downside Of B-D Counteroffers

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When you tell a broker-dealer you're leaving it might offer you incentives to stay, but that's not always a good idea.

DOL Warns Firms About Conflicts Lurking In Payout Grids

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The department says the grids might push advisors to recommend more expensive products.

Advisors Shouldn't Rush To Lower Fees, Janus Henderson Says

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Advisor fees have been holding steady despite pricing pressures, Janus Henderson's Matthew Sommer says.

Facet Wealth Raises $100M In Series C Funding

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It's one of the largest PE investments for a financial advisory consumer-facing company, Facet's CEO says.

Is SEC Telling Advisors Not To Call Themselves Fiduciaries In Relationship Summaries?

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Industry attorneys say advisors and compliance experts are confused by the SEC's guidelines.

Citigroup Fined $375K For Failing To Report Reps' Financial Woes

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The firm neglected to report cases where reps faced tax liens, judgments and wage garnishments, Finra said.

Advisory Firms Embrace Flexwork Schedules To Preserve Talent

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Remote and flexible policies in place have helped RIAs weather the pandemic better than many other professions.

How To Minimize Behavioral Bias In Advisor

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Even an AUM fee or a retainer model may be the wrong signal to clients that you have certain abilities to predict the future.

Jamie Dimon Boosts JPMorgan Wealth Advisors' Pay From Windsor Castle

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Jamie Dimon had some surprises when he dialed into a conference call with company wealth advisors.

Expect SEC To Crack Down On Compensation Conflicts

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Advisors and broker-dealers can expect tougher enforcement under the Biden administration, two industry experts said.

How To Growth Hack An RIA

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Recapitalization might just be the smartest thing an RIA owner can do right now, writes Ryan Shanks.

Trade Groups Ask DOL For More Time To Implement Fiduciary Rule

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Some of the rules are falling harder on smaller advisors, say industry advocates.

Flat Fees Used By More Than A Quarter Of RIAs, Survey Says

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Among Advyzon clients, flat-fee revenue models were somewhat more popular with larger firms than smaller firms.

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