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Compensation

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DOL Fiduciary Rule Sent To OMB, But Can It Survive Biden Administration?

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The rule expands advisors’ abilities to recommend rollovers and receive many forms of compensation.

CFP Board Says Advisors’ Pay Will Be More Transparent

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The CFP Board removed a website compensation search tool last spring.

Can Revamping Your Fee Structure Increase Your Client Base?

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Revamping your fee structure could be a relatively simple way to broaden your client base.

Advisors Considering Switching Firms Face Tough Choices During Pandemic

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The chaos caused by Covid is causing some advisors to hesitate in making a switch, a Fidelity survey says.

Is Robinhood The Hero That Today’s Investors Need?

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What advisors can learn from the commission-free retail trading app targeting the smallest investors.

How Advisors Are Paid Will Be More Transparent, CFP Board Says

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The CFP Board removed a website compensation search tool last spring.

UBS To Boost Fixed Pay, Cut Bonuses In Compensation Revamp

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UBS will increase fixed compensation for those it found were underpaid while reducing their variable pay.

Six States Move Forward With Best Interest Rules For Annuities

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The regulation requires advisors to “act in the best interest of the consumer when recommending or selling an annuity.”

Clayton Fires Second Warning Shot To Firms Omitting Disciplinary Histories On Form CRS

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The SEC will host a roundtable later this month to discuss problems with firms' Forms CRS.

Kitces, Moore Say XYPN Has Dropped Challenge To Reg BI

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Instead, it will focus its efforts on fiduciary regulation on the state level.

Methods Of Motivation

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How do private companies motivate employees in both the short and long term?

DOL Announces Hearing On Fiduciary Proposal After 'Considerable Interest'

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The DOL's proposal brings its rule-making into line with the SEC's Reg BI.

Why Two LPL Leaders Believe Flat Planning Fees Are A 'Game Changer'

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Flat fees may help demonstrate the value of planning and expand advisors' client base.

SEC Warns Advisors, Brokers About Charging Excessive Fees During Shutdown

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The SEC says it's seeing widespread over-billing of advisory fees.

The Vitals Of Volatility And Valuations

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Understandably, RIA executives are asking how this year’s turmoil will affect their profitability and valuations.

Advice From The Heart

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It’s time to focus on what’s actually important to clients, and that’s likely not money.

It’s Game On For Broker-Dealers

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The Covid crisis put a pause on broker-dealer recruiting, but a crisis always puts advisors in play.

DOL Revises Its Fiduciary Rule To Allow Third-Party Compensation

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The revisions bring the DOL rule in line with the SEC's Regulation Best Interest.

What The Advisory Business Could Look Like In 2040

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More technology and greater margin pressure are in the offing, says Boston Consulting Group.

Survival Of The Happiest

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Crises like the pandemic make us realize the importance of team morale.

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