Compensation
Compensation
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As Raymond James, Wells Fargo and RBC reported big recruiting deals this week, FINRA said it was going to pay back to its members a large chunk of the fees they paid last year.
July 3 -
Even after accounting for income, Black Americans still trail in retirement savings, according to a recent EBRI study. Advisors point to a mix of historic and systemic barriers that make the gap hard to close.
July 2 -
The momentum is clearly accelerating behind registered investment advisory firms, but every individual team's choice requires careful consideration.
July 1 -
A FINRA arbitration panel's decision marked a rare rebuke for a large wealth manager seeking to reclaim money it provided an advisor recruited from a rival.
June 30 -
As college costs rise, parents are resorting to increasingly costly means to pay for their children's educations. Financial advisors say the loss in retirement savings is rarely recovered.
June 30 -
To best serve LGBTQ clients, financial advisors must understand their unique needs and challenges, from diverse household structures and retirement plans to the correct use of pronouns.
June 27 -
Osaic and UBS have both been on the losing end of some recruiting deals in recent months, while this week Cambridge, Rockefeller and RBC were on the winning end.
June 27 -
CEO Kunal Kapoor and other speakers explained how the shifting trends shaping the industry mean that advice is getting even more important.
June 26 -
As an aging cohort of financial advisors prepares for retirement, firms are scrambling for next-gen talent. Yet a new study found that few have developed a comprehensive succession plan.
June 26 -
A new TIAA Institute survey found that a vast majority of 401(k) plan participants are interested in accessing fixed annuities through their retirement accounts. Plan providers are listening.
June 23 -
Financial advisors and other female wealth management professionals say eliminating the self-doubt represents an important first step.
June 20 -
Also this week, Raymond James pulls from Ameriprise, UBS from Morgan Stanley and LPL from RBC.
June 20 -
A consulting firm's report on the future of the channel reveals the ambivalence and frustration many feel about the impact of M&A consolidation.
June 18 -
Other than satisfying important regulatory requirements, RIAs and their clients can exercise a lot of choice on costs. Here's how experts view the process.
June 17 -
A group of tax organizations, including the NATP and NAEA, hopes to preserve the core tax functions relied on by tax professionals despite cutbacks at the IRS.
June 17 -
Financial advisors say that retirement planning for transgender clients can come with its own set of considerations, beyond 401(K) contributions or Monte Carlo simulations.
June 17 -
In an analysis stretching back to 1926 of 75 different retirement scenarios, Craig Israelsen compares five different retirement portfolio withdrawal strategies, from a fixed annual amount to the 4% rule and RMD withdrawals.
June 17 -
While the advantages to the parents often receive the most attention, a summer job could pay literal dividends to the children, experts say.
June 16 -
Now at Wells Fargo, Matthew McCrea is accused of violating a nonsolicitation agreement he signed at JPMorgan. The suit echoes allegations JPMorgan made days earlier against a broker now at Morgan Stanley.
June 16 -
RBC Wealth goes to UBS again to pull over advisors with large AUM tallies; Carson Group buys a firm in Colorado, and Goldman Sachs alumni set up an RIA through Dynasty Financial.
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