Fee-based compensation

Instead of thinking about fiduciary purely as an obligation or regulation, advisors should envision it as something much bigger: a way of life.

A new survey finds that investors prize full and upfront disclosures about fees and conflicts of interest, but advisors fall short.

Planner Greg Phelps, one of the project volunteers, survived the shooting by sprinting across the concert grounds while bullets slugged into the ground.

Investors brought a class-action suit against brokerage alleging a "scheme to churn revenue from essentially dead assets."

Advisors who should self-report a violation — but don’t — could face enforcement actions.

As the shift to fee-based accounts roils the industry, forward-thinking firms are revisiting how they pay employees while also making work more enjoyable. By Charles Paikert

As the financial planning industry nears a fee-only, fiduciary world, independent broker-dealers will face some important choices about their future business models.

Though largely replaced by the 1% of AUM model, performance-based fee structures are cropping up again — and that’s cause for concern.

IBDs and regional firms are making the biggest changes, but RIAs have room for growth as well.

The technology is there, efficiencies are multiplying and the incentives are huge. So, why is the general mood so grim?

Fortune 500 companies disappear because they don't plan properly for the future. Don't think it can't happen to your firm.

The good, the bad and the downright inexplicable in the suggested changes.

As advisors grow their firms into bona fide businesses, they may sour on the profession —unless they scale back, Michael Kitces writes.

Investors are increasingly focused on fees, and the problem for Wall Street is that there’s nothing it can do that Vanguard can’t do more cheaply.

What do they bring to the table? Lobbying clout, alternative fee structures and technical expertise are just part of the equation.

Parker’s candid responses to Financial Planning’s rapid-fire queries on new digital tools, sexual harassment, Social Security planning, deal-making, how (not) to talk to clients about the stock market run-up and more.

Headcount is down by 200 compared to a year-ago.

Transparency is the key to a good long-term client relationship. That’s why advisors should publish fees and minimums on their websites.

Some of the biggest changes come when industries collide.

It’s been a busy first year for the firm’s new chief. Jamie Price responds candidly to Financial Planning’s rapid-fire queries.