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1. Is Your Billing Structure Creating Potential Conflicts?
(Matching tags: fees,Advisor businesses,compensation)
 Advisors typically bill based on Assets Under Management (AUM). In general, the larger the portfolio managed, the more fees are earned by the advisor. As an advisor myself, I will frequently tell ...
Sunday, May 21, 2017
2. New Overtime Rules
(Matching tags: employees,compensation)
Whether you're an employee or an employer, you could be affected by new overtime rules enacted by President Obama and the Department of Labor on May 17, 2016. Officially an update to the Fair Labor Standards ...
Tuesday, May 31, 2016
3. New Overtime Goals
(Matching tags: client education,employees,compensation)
Whether you're an employee or an employer, you could be affected by new overtime rules enacted by President Obama and the Department of Labor on May 17, 2016. Officially an update to the Fair Labor Standards ...
Tuesday, May 31, 2016
4. Do You Reward Employees At Holiday Time?
(Matching tags: gifts,holidays,employees,compensation,practice management)
The holidays are upon us, and as business owners, we are faced with whether or not to do something for employees. If we’ve done something in the past, it’s pretty hard to skip a year because ...
Wednesday, December 16, 2015
5. Can Your Clients Trust Their 401(k) & IRA Investments?
(Matching tags: fiduciary standard,IRA rollovers,IRA,compensation,401(k))
Registered Investment Advisors have long known about the potential for conflicts of interest when commission-based providers offer 401(k) and IRA investments. The Department of Labor has been trying to ...
Wednesday, May 20, 2015
6. Don't Let The Four Year Bull Market Make You Too Comfortable; Despite Recent Pay Hikes, Advisors Have Work To Do
(Matching tags: Advisor businesses,competitors,advisor technology,compensation)
“It's good to be boss,” says today's top story from Investment News. “Owners, top advisers see double-digit pay hikes.”   Sure, it’s good to be the boss at an RIA ...
Thursday, November 21, 2013
7. Board of Governors Authorizes FINRA To File Recruitment Compensation Proposal With SEC
(Matching tags: compensation,FINRA,breakaway brokers,registered reps)
The Financial Industry Regulatory Authority (FINRA) today announced that its Board of Governors approved a proposal requiring brokers to disclose recruitment compensation paid to them as an incentive ...
Thursday, October 10, 2013
A lot of fee-only advisors think that advisors who accept commission compensation cannot be fiduciaries. That’s not necessarily true. Legal experts say the Securities Exchange Act of 1934 imposes ...
Wednesday, May 22, 2013
The Federal Reserve is considering a rule requiring banks and securities firms to disclose compensation earlier, increasing transparency to investors on how and when firms pay their employees.   ...
Friday, February 15, 2013
If you think the disparity in pay between women and men doesn’t apply to the financial industry, think again.   A US Census data analysis conducted last year revealed that in 2010, the ...
Wednesday, January 30, 2013
11. A Tale Of Two Studies: Highlights From The Cisco Wealth Management Study And FPA Compensation Study
(Matching tags: Meetings,advisor technology,compensation,client communications)
... The FPA recently released their 2012-2013 compensation study. Here are highlights from both studies.  ...
Saturday, December 08, 2012
12. Eight Days And Still Waiting For An Answer From CFP Board About Whether It Is Misleading Consumers; A Life Lesson For Advisors About The Power Of Blogging
(Matching tags: dually registered,financial planning,marketing,compensation,client communications,Financial Planning Apps,fiduciaries)
CFP Board still has not responded to my posts about its complicated disclosure rules on informing consumers about a Certified Financial Planner’s fiduciary obligation. It’s been eight ...
Wednesday, October 24, 2012
Panel discussions at conferences are usually a bore because no one takes full responsibility for making the session a success or everyone wants to plug their idea. But a funny thing happened at ...
Saturday, September 29, 2012
14. Do You Charge For Financial Plans?
(Matching tags: client acquisition,Advisor businesses,client feedback,differentiation,prospects,value proposition,financial planning,marketing,compensation,profitability)
As strange as it seems, there are some financial advisors who don’t charge for financial plans – even for brand new clients!  If you’re one of those advisors, you are selling yourself ...
Sunday, August 19, 2012
If you’ve ever wanted to compare broker-dealers for payout rates, how many reps they have, or which firms have the highest earning reps, there’s a database available. You can use the default ...
Tuesday, July 24, 2012
16. Approaching Your Client Base With A Blanket Business Decision May Not Always Be Your Best Option
(Matching tags: Advisor businesses,compensation,client communications)
The decision to switch from commissions to fees can be an unnerving one. But for many, it’s just the next step in the trajectory for growing their businesses. To ease the process from an income ...
Friday, June 08, 2012
17. NASDAQ's Apology Falls Short Of Satisfying Losses Claimed By Facebook Offering Participants
(Matching tags: compensation,Operating Systems,NYSE,Social Media)
The industry got what it wanted from the NASDAQ. Sort of. NASDAQ apologized for the technical glitches experienced on the exchange during the initial public offering of Facebook and even offered a plan ...
Thursday, June 07, 2012
18. One Advisor's Experience With A Dual Fee Structure Is Simply That: One Advisor's Experience
(Matching tags: Advisor businesses,client loyalty,client satisfaction,compensation)
The emergence of multiple fee structures happened enough years ago that some advisors are weighing in on their experiences with it. The first reviews are not so good. The idea sounded great at the time ...
Thursday, June 07, 2012
Although the pay gap for female stockbrokers is narrowing, it has been stubbornly significant since the 1980s. Among women in the personal advisor group, men made 41.6% more in 2010 than females did. ...
Monday, May 21, 2012
20. Let's Turn Billing Upside Down!
(Matching tags: Advisor businesses,investment advisors,compensation)
As I write this article, I’m feeling pretty good from a cash flow standpoint.  After all, the market was cooperative last quarter and my bank account is grateful.  I, like most of you, ...
Thursday, May 10, 2012
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