Compensation

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Planning To Sell Your Firm? First, Make Sure It's Sale-Ready

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Steps can be taken to boost a firm's sale price, according to Bluespring Wealth Partners.

Hiring Woes Exacerbated By Covid, DeVoe Says

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Advisory firms need to concentrate on talent and succession, a new study shows.

Morgan Stanley Says Former Advisor On $160M Team Solicited Clients After Termination

by FA Staff

Robert Sevcik also allegedly hid retirement income from trailing commissions from a former firm advisor, a complaint says.

Majority Of Advisor Firms Achieved Their Growth Goals In 2020, Schwab Says

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Despite the pandemic, 68% of advisors met or exceeded their growth projections, according to a Schwab study.

SEC Charges 27 Firms For Failing To Deliver Form CRS To Investors

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The advisor and broker-dealer firms will pay fines ranging from $10,000 to $97,523.

SEC Raises Alarm About Wrap Fee Program Deficiencies

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A review found that advisors in these programs were violating their fiduciary duties, the agency said.

Critics, Former Regulators Press SEC To Add Fee Disclosure To Form CRS Redo

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All-in costs are difficult to discern in the current Form CRS, but critics say reps and advisors can fix that.

Answering 'How Much Do You Charge?'

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There are different ways of answering the question; often it involves establishing the logic or rationale.

Have A Problem? Get A Partner!

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Getting another person's perspective can identify problems early before too much damage is done.

UBS Tries To Stop RBC Defectors From Taking More Clients

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UBS filed for injunctive relief against a New Jersey team that managed $1.6 billion, claiming they breached contracts.

All Things To All People Won't Work

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Spoiler alert: You aren't all there is.

Five Powers Companies Should Never Cede To Workers

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Stakeholder capitalism must have its limits.

Warren Buffett On Up-Front Recruiting Checks

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What are you really getting when a broker-dealer gives you money in advance?

Monetary Incentives Are Poorly Used By Many Financial Firms

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Incentive compensation needs to be clearly defined and tied to the firm's goals, David DeVoe said.

Regulation Turns Off Entrepreneurs From Pursuing The IBD Channel

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Regulators are making it difficult for innovation in the broker-dealer space, said an industry consultant.

Don't Let Statistics Deter You From Switching Firms

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Switching firms should lead to some client transition, but the amount may be overstated by recent statistics.

Working From Home Could Harm Mental Well-Being, Consultants Say

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Working in an office leads to better relationships among employees, they said.

AdvicePay Adds Compliance Tool Showing Link Between Fees And Advice

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The new Deliverables functionality allows firms to demonstrate that advice was provided for retainer and subscription fees.

2021 Independent Broker-Dealer Survey: IBDs Navigate The Pandemic

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A market upswing helped save this industry in 2020 and recruiting kept its pace.

The Major Conflicts Recruiters Won't Tell You About

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The current fee model offers little incentive for recruiters to focus on a good fit between firms and advisors.

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