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?