Fee disclosures

The nuance around RIA compensation belies an often overheated debate and the ability for planners these days to make their own choices.

In only her fifth year in the profession, the former Facet advisor is starting at zero with gratitude toward her growing professional network and an intentional focus on fees.

State regulators accused the wealth management giant of charging customers commissions of $75 or more for small equities transactions.

Jeff Jones sees allowing donations to 501(c)3 groups as a way to accommodate advisors coming into the industry from the insurance world.

Even with the overall decline in people seeking financial advice, the number of investors wanting help specifically with asset management is on the rise.

The SEC accused the famed investment management firm of providing a faulty formula to a subadministrator responsible for calculating its fee waivers.

For the first time, the brokerage's self-regulatory body is citing the 3-year-old rule as a reason to remove a firm from the industry.

Lawyers for the popular brokerage service argue that federal regulators have resisted the use of a single conduct standard to preserve investor choice.

The regulator's latest staff bulletin also calls on planners at hybrid firms to always be clear about if they're wearing their broker or advisor hat.

Understandable expenses came out ahead of every other "want" among customers, displaying how transparent costs are an important differentiator for advisors.