Fee disclosures

Vanguard was accused of giving advisors incentives to enroll clients in certain financial service without disclosing how they were being compensated.

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.

Net of expenses, many financial advisors and investors could find similar yields and exposure for their portfolios elsewhere, according to a Morningstar study.

They must file the lengthy and highly specific Form ADV document with the SEC and state-level agencies. And that's just one aspect of the many strategic decisions.

State regulators accused LPL Financial, Edward Jones, Stifel, RBC and TD Ameritrade of charging their clients unreasonably high and unfair commissions on 1.12 million equity trades over a five-year period.

Only two out of nine firms included the total amount of money involved in revenue sharing — a practice critics say should be ended entirely — in their disclosures.

Four experts say that video training and giving the TLDR versions can go a long way to securing and keeping clients confident and engaged.

The industry conflict of interest takes many common, controversial or outright confusing forms. Here's what financial advisors and investors should know.

Shrinking fees and expanded service offerings are squeezing financial advisors. Cerulli research says the problem will only grow over the coming year.

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.