Results for "compensation and staffing"

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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...

7 questions to test your mastery of advice firm pay practices

October 31, 2017

Compensation is the largest expense that a firm incurs in most industries. As the typical independent financial advisory firm continues to evolve, developing the next generation of partners and advisers is an imperative in an increasingly relationships-based...

Mitigating conflicts of interest in compensation

October 25, 2017

Compensation is the most divisive issue in the financial advice industry. It is the subject of intense regulatory scrutiny and is widely used within the field to distinguish (and pit) one group of advisers versus another – those who receive...

How does your advisory firm stack up?

October 18, 2017

With talent so hard to find and keep at advice firms, each practice should have a clear handle on how well it is – or isn't – compensating its brilliant workforce. The benchmarking data below show the greatest range of salaries occurs in...

InvestmentNews names winners of its 2017 Best Practices Awards

October 17, 2017

InvestmentNews has announced the winners of its 2017 Best Practices Awards, an initiative that recognizes the top-performing and most innovative firms in the financial advice industry. The winners were identified through their participation...

How adviser salaries stack up to other jobs

October 16, 2017

It's only natural to wonder how much you could be making if you had dedicated your life to another profession, such as information technology, engineering or medicine. Scroll down our listicle to find out! You can see how most financial advice...

Advice firms need to invest in training and staff development

October 14, 2017

It's no secret that the advice business is having trouble finding new talent to replace retiring advisers, but a new study from InvestmentNews shows just how much that is hurting the financial health of advisory firms. Because firms can't hire...

Advice industry in hiring mode

October 14, 2017

As the largest independent advisory firms continue expanding, something unexpected has happened along the way. The typical professional at one of these firms is no longer "independent" in the sense that he or she is an owner of the business....

Advice firms in a tricky financial position

October 14, 2017

Efficiency will have to become the new mantra at independent financial advisory firms as revenue continues to slide and compensation climbs. Median annual revenue growth for advisory firms, which has been trending downward since peaking at 16%...

Employee retention linked to career paths and training

October 14, 2017

As competition heats up among independent advisory firms for both clients and financial advisers, training and guided career paths are emerging as crucial components of recruiting and keeping advisers on board. Yet at a lot of advisory firms,...

6 biggest sources of AUM growth at advisory firms

October 13, 2017

Financial advisory firms on average increased their assets under management a total of 16% last year, according to the 2017 InvestmentNews Adviser Compensation and Staffing Study. That total accounts for 6.2% of AUM advisers lost on average...

SEC approves Finra rule to streamline securities exams

October 5, 2017

New college graduates and people wanting to change career direction would more easily be able to enter the securities industry thanks to reformed Finra qualifying exams. The Securities and Exchange Commission has approved a Finra rule to streamline...

Highest paying jobs at advisory firms

October 3, 2017

Independent advice firms have been a great place to work the last two years. Salaries at these businesses increased across the board, and all but one professional position saw double-digit percent increases in 2017 compared to 2015, when InvestmentNews...

Focus on competency, not compensation method

September 13, 2017

I have been a financial planner for more than 20 years. During that time I have had an opportunity to work at a variety of firms that operated in different business and compensation models. Currently, I serve as vice president and financial...

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