Fee disclosures

Founder Steven Fox is asking for a flat $18,000 per year from planners to act as their RIA and platform provider to drive changes to fee models across the industry.

The Immersion conference seeks to boost the number of planners using alternatives to the traditional AUM fees one advisory practice — and attendee — at a time.

Out of more than 2,000 moves reducing prices over nearly 50 years, the company says this round represents the largest in its history.

FINRA charges restitution but forgoes punitive fines for the three firms after crediting them for cooperating in its investigation.

A government watchdog reports that Labor Department regulations haven't made much of an impact on the levels of disclosure and comprehension.

Planners Carolyn McClanahan and Dana Anspach discuss how the client expenses work for their advisory practices as more firms rethink their approach.

The litigation comes amid heated debate over a Department of Labor rule meant to prevent excessive fees on sales of insurance products.

A recent YouGov survey said 60% of Americans consider integrity the most important factor in their selection process.

The case is the latest to emphasize advisors' obligations to let investors know when they receive money for recommending certain mutual fund products.

One of the largest independent wealth management firms faces a big potential SEC judgment in a case that sheds light on industry revenue-sharing practices.

The nuance around RIA compensation belies an often overheated debate and the ability for planners these days to make their own choices.

In only her fifth year in the profession, the former Facet advisor is starting at zero with gratitude toward her growing professional network and an intentional focus on fees.

State regulators accused the wealth management giant of charging customers commissions of $75 or more for small equities transactions.

Jeff Jones sees allowing donations to 501(c)3 groups as a way to accommodate advisors coming into the industry from the insurance world.

Even with the overall decline in people seeking financial advice, the number of investors wanting help specifically with asset management is on the rise.

The SEC accused the famed investment management firm of providing a faulty formula to a subadministrator responsible for calculating its fee waivers.

For the first time, the brokerage's self-regulatory body is citing the 3-year-old rule as a reason to remove a firm from the industry.

Lawyers for the popular brokerage service argue that federal regulators have resisted the use of a single conduct standard to preserve investor choice.

The regulator's latest staff bulletin also calls on planners at hybrid firms to always be clear about if they're wearing their broker or advisor hat.

Understandable expenses came out ahead of every other "want" among customers, displaying how transparent costs are an important differentiator for advisors.