Results for "compensation and staffing"

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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...

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...

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...

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...

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,"...

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...

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...

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....

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...

How top-performing advisers maximize profits

April 8, 2014

The results of the 2013 InvestmentNews/Moss Adams Adviser Compensation & Staffing Study shed new light on what top-performing firms and their producers do differently when it comes to both developing business and maximizing profits. Of the 309...

Lead adviser talent and compensation in the three largest U.S. cities

March 4, 2014

We designed our National Adviser Compensation Database to give individual advisers the power to benchmark their compensation in the most specialized ways possible, in order to meet the needs of an industry that has no shortage of specialists....

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...

State-registered advisers face fee model inconsistencies

August 30, 2017

New financial advisers are finding strange discrepancies between states in terms of the way regulators are allowing them to charge their clients fees for services. They have found that some states will not allow them to charge a client both...

One year on, Goldfarb wants amends from CFP Board over fee flap

September 27, 2013

It has been almost a year since Alan Goldfarb resigned as chairman of the organization that oversees the certified financial planner designation. To put it mildly, he's still not happy with how the CFP Board handled the case and would like the...

LPL tweaks pricing of investment products in preparation for DOL fiduciary rule

June 1, 2017

LPL Financial continues to revamp its pricing of investment products in preparation for the Department of Labor's fiduciary rule, informing advisers on a conference call on Thursday morning that, going forward, there would be level compensation...

BlackRock paid CEO Laurence Fink $25.5 million last year

April 14, 2017

BlackRock Inc. CEO Laurence D. Fink received a $25.5 million pay package for 2016 as the company cut employee bonuses for the first time since 2011 and performance in its stock-picking business continued to lag behind peers. Mr. Fink, 64, got...

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...

Top 12 ways high-performing firms boost revenue

August 21, 2014

In our upcoming benchmarking study, the 2014 InvestmentNews Financial Performance Study of Advisory Firms, one of the questions we sought to ask was: How can advisory firms, which have experienced near exponential growth, make their prosperity...

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