Compensation
Compensation
-
Here’s how to help prepare clients for what comes next.
November 9 -
A friendly memo to help top regulators in the next administration set priorities. One key point: planners and fee-compensated IRAs are the least of your worries.
November 9 -
A Yale Law School professor proposes raising the full retirement age to 76 and imposing a steep 80% penalty for the highest earners who opt to claim their benefits early.
November 8 -
The group's leader comes with 26 years of industry experience.
November 8 -
Clients fare just as well, and possibly better, with their other investments by developing the same savings habits of these retirement accounts. Plus, getting more out of munis.
November 8 -
The new recruit is leaving the wirehouse to work as an independent.
November 7 -
Because federal rules now require parents to plan earlier for funding education, advisers can offer substantial value to clients through their financial aid expertise.
November 7 -
The three recruits joined the independent firm from Wells Fargo and Edward Jones.
November 7 -
Tell clients in this situation to make sure they know key dates and review their statements to confirm the amounts are accurate.
November 4 -
Several senators conducted their own review of FINRA reports and said they found that Wells Fargo had “ample information” about the severity of the bogus account practices for years.
November 4 -
How some firms bypass traditional methods and offer points and rewards programs.
November 4 -
Assets at firm's Total Return Fund have slipped 70% from its peak in April 2013 to $82.6 billion.
November 4 -
Investments in certain closed-end funds or preferred shares are strategies clients should consider to make their savings last, an industry expert says.
November 3 -
The advisers made the move in the wake of new regulatory guidance which takes aim at recruiting deals.
November 2 -
Two industry veterans joined the fast growing regional brokerage firm.
November 2 -
How advisers can prepare for renewed interest in alternatives.
November 2 -
"There are ways to potentially be cute with it. You could potentially cut out retirement business from the back-end bonuses," says an ex-Merrill Lynch executive who works in the independent space. "Cute doesn't usually work when it comes to regulators."
November 2 -
Best ways to bring two firms — and distinct cultures — together.
November 2 -
Best ways to bring two firms — and distinct cultures — together.
November 2 -
The early decision stops advisers from earning commissions on products that will also generate fees through the firm's Investment Advisory Program.
November 2
















