Results for "compensation and staffing"

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CFP Board takes on racial, ethnic diversity

May 10, 2018

The fact that the financial planning industry is made up mostly of white men is a problem that needs to be addressed, according to a report out today from the CFP Board Center for Financial Planning. The comprehensive study, which included interviews...

Job satisfaction tied to benefits satisfaction, survey finds

April 27, 2018

The happier employees are with their benefits, the happier and more satisfied they are overall, according to an analysis of survey data by the Employee Benefit Research Institute. The data, from EBRI's 2017 Health and Workplace Benefits Survey,...

Beyond payroll: What makes broker-dealers successful

April 2, 2018

Every wealth management firm understands how its ability to attract and retain advisers impacts its financial health. Yet, there are challenges: New regulations, an aging field force, and the emergence of alternative distribution channels must...

In his first year as LPL Financial's CEO, Dan Arnold's compensation soars

March 29, 2018

In his first year as LPL Financial's CEO, Dan Arnold earned $7.4 million, substantially more than the $5.4 million his predecessor earned in his last year in that position, according to the firm's proxy statement filed with the Securities and...

Advisers, you're invited to take part in our 2018 Adviser Compensation, Profitability Survey

March 27, 2018

InvestmentNews Research invites all financial advisory firms to participate in its 2018 annual adviser benchmarking survey. We are making two important changes to this year's study that we hope will provide advisers and the industry with more...

Break out of your comfort zone to find real business success

March 26, 2018

Once people expand their thinking around what it takes to build their success, the benefits seem to flow. So why do so many advisers — even the most successful among you — still settle for so much less than is possible? The answer is mindset....

More turnover at top of REIT manager CNL Financial

March 22, 2018

CNL Financial Group Inc., a leading manager and seller of nontraded real estate investment trusts, continues to see senior managers exit, with Neil Menard, the former president of CNL's wholesaling broker-dealer, leaving the company at the start...

Why money managers are paid so much is a mystery

March 19, 2018

Why do workers in the financial industry get paid so much? There are many possible explanations, none of them completely satisfying. The financial industry commands a much larger share of the U.S. economy than in the past, causing some to worry...

Ameriprise CEO took home $64.7 million in 2017

March 19, 2018

Ameriprise CEO James Cracchiolo received a 44% pay raise last year, boosting his direct compensation to $23.9 million. In addition, he cashed in about $40.8 million in stock options. Because the options were given to Mr. Cracchiolo prior to...

UBS buckles to pressure over non-solicitation agreements

February 26, 2018

Just days after rolling out new non-solicitation agreement requirements linked to 2017 broker bonuses, UBS Financial Services has buckled to pressure and postponed the rule change till next year. "I think there was a mutiny on the bounty, the...

InvestmentNews Research and State Street Global Advisors Release New Study, “Women in Advice: Inspiring the Next Generation of Financial Advisers”

February 9, 2018

BOSTON, February 7, 2018 — InvestmentNews and State Street Global Advisors, the asset management business of State Street Corporation (NYSE: STT), today announced new research into many of the reasons why women still represent a distinct minority...

Don't Pave the Cow Paths… Blaze your own Path

January 9, 2018

“They just keep paving the cow paths!” I first heard this phrase over a decade ago in Boston, where every day I would commute to work through twisting, potholed, impossibly crowded roads. A colleague, a Boston native, explained the legend...

RIAs must move beyond investments to justify fees

January 2, 2018

A steady drumbeat of fee pressure has some financial advisers rethinking and repositioning their message to underscore their value to clients. "I think this conversation can be pretty straightforward if you approach it with transparency in mind,"...

Ask the Ethicist: Help the CFP Board improve its revised standards

December 27, 2017

On Dec. 20, the CFP Board released the second draft of its proposed revisions to the Standards of Professional Conduct. The first draft was released during the summer with a 60-day comment period. This latest version is open to comment from...

Fidelity report says RIAs are cutting fees, working harder

December 18, 2017

Registered investment advisers are starting to succumb to pressures from robo platforms by cutting fees and embracing their own digital platforms, according to the 2017 Fidelity RIA Benchmarking Study. The report, released Monday morning by...

For brokers, tax bill could bring shakeups and job changes

December 15, 2017

Some brokerage firms are concerned that the tax overhaul could lead to upheaval, pushing their employees to set up their own shops or switch firms to lower their tax bills. At the heart of the issue is how the business is organized. Some brokers...

Digital investing will bring big changes in 2018

December 14, 2017

If we learned nothing else about the financial advisory business in 2017, we know that the digital revolution is just getting started. Brokers and advisers are facing increasing pressure to be more transparent and reduce fees. Complex regulations...

Wells Fargo 2018 pay grid changes deferred comp

December 1, 2017

Wells Fargo Advisor's 2018 compensation plan keeps intact its current payout rates, but tweaks its deferred compensation awards and adds a layer to deferred compensation for advisers who do business with a higher percentage of households with...

Change is slow when it comes to gender diversity at independent advisory firms

November 20, 2017

Women have seen little to no change in representation among advisory professionals, according to the 2017 InvestmentNews Compensation & Staffing Study. There is no statistically significant observable difference from four years ago in the number...

Merrill Lynch releases new compensation plan

November 8, 2017

With an eye on growth, Merrill Lynch on Wednesday afternoon released its 2018 compensation plan for its 15,000 financial advisers, and it contains both a carrot and a stick. Merrill Lynch advisers who bring in a healthy number of net new accounts...

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