Compensation

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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.

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?

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