Tag: Compensation

The 2014 RIA (Registered Investment Advisors) Benchmarking Study from Schwab Advisor Services finds employees look beyond their base salary for meaningful compensation.

Surprisingly, only one-third of retirement plan advisers know their gross and net margins, said Blake Thibault, senior vice president and adviser with Heffernan Financial Services.

Investment firms that actively mentor younger advisers are likely to gain a competitive advantage over the next decade, according to the J.D. Power “2014 U.S. Financial Advisor Satisfaction...

No more exceptions: Advisers who are members of the National Association of Personal Financial Advisors (NAPFA) cannot accept compensation in any form from any source other than their...

The Financial Industry Regulatory Authority (FINRA) backed off its proposal requiring broker/dealers to disclose financial incentives to move to a new firm.  

A new study of 401(k) plans shows that more than 50,000 of them failed nondiscrimination testing for the 2012 plan year.

Almost half of investors say they need investment advice, want an adviser they can trust and do not understand how the compensation works, according to Cerulli Associates.

Without admitting any wrongdoing, ING Life Insurance and Annuity Co. has agreed to settle a lawsuit claiming it violated prohibited transaction rules of the Employee Retirement Income Security...

The seventh release of the “Adviser Insights” study from Fidelity Investments suggests financial advisers are enjoying the highest levels of compensation and assets under management since 2007.

The U.S. Department of Labor is seeking public comments about a proposed revision to fee disclosure rules that would simplify the way fee data is presented to some...

Low balance limits and initial investment hurdles in the President’s “myRA” proposal will likely restrict the number of service providers bidding on related contracts with the Treasury.

Strong market performance helped registered investment advisers (RIAs) increase practice revenues by 18% last year, and growth prospects are good for 2014.

A federal appeals court upheld a ruling that an employer did not violate anti-cutback rules when paying lump sums from a terminated pension plan.

Retirement plan provider Securian Retirement announced the launch of a new open-architecture product offering.

Nearly one in four U.S. households age 50 to 59 wants more investment advice—and is willing to pay for it.

Investors who are younger and have less wealth are content with their financial advisers, but also quicker to leave them, according to Spectrem Group research.

Do you track your time?  Like good economists, we can argue this question from both sides of our mouths.  Where do you stand?

The Online Plan Profit (k)alculator from Nuveen Investments shows plan profitability over time.

Non-profit does not mean there is no revenue to be generated from this market.

Advisers might want to take a look under the hood to see what’s causing private investors to think it is better to go it alone.