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Financial Planning July 1, 2006 Bob Veres	Changing Charges Now that the commissions vs. fees debate is fading from the financial planning profession, a new compensation discussion is on the table.
BusinessWeek August 30, 2004 Amy Borrus	Brokers Aren't Advisers The line between brokers and advisers was clear for decades. But in 1999, the Securities & Exchange Commission blurred that line. Now, to protect investors, the SEC must redraw a clear line.
Financial Planning July 1, 2013 Bob Veres	How to Fix the AUM Fee Model Advisors are trying a dizzying variety of compensation plans. Some have been a lot more successful than others.
Financial Planning May 1, 2005 Ed McCarthy	Making the Switch As advisers shift from a commission-based model to a fee-based one, how are their practices handling the change?
Financial Planning October 1, 2006 Bob Veres	Fee Rebuttal This isn't a contest where the lowest fees win. When we talk about compensation, the issue should always be a fair price for whatever service is provided. The most important thing advisors can do is align their interests directly with their clients'.
Financial Planning July 1, 2005 James A. Barnash	Why We're Suing The FPA president explains the lawsuit over the SEC's broker-dealer rule that exempted certain broker-dealers from disclosure standards that apply to investment advisers and most financial planners.
Financial Planning April 1, 2006 Bob Veres	The Tune-up Here is how financial advisors can serve a broader group of clients without taking on a lot of long-term obligations.
Registered Rep. September 26, 2011 Andrew J. Haigney	Opinion: Asset-Based Fees Destroy Value The future lies in adopting an hourly rate structure for investment advice, combined with the use of low cost index funds.
Financial Advisor December 2009 Roy Diliberto	Aligning Your Compensation With Your Services The compensation model advisors choose depends on their service proposition.
Financial Planning May 1, 2006 Bob Veres	False Fiduciaries The so-called resolution of the SEC's "Merrill Lynch rule" does nothing to keep brokers from providing financial advice without assuming legal responsibility.
Financial Planning April 1, 2005 Donald Jay Korn	2010: Get Big or Fade Away Forget how you're running your financial advisory practice now. Change is coming.
Registered Rep. March 31, 2015 Anne Field	Compensation Alternatives For advisors targeting younger clients, an AUM-based fee doesn't make much sense, and increasingly high-net-worth clients suspect they are not getting their money's worth.
Financial Planning April 1, 2005 Abigail La Croix	5 Questions A life insurance executive explains why no-load life insurance products matter.
Financial Advisor April 2005 David L. Lawrence	Linking Client Profitability To Client Acquisition Goals The kind of financial advisory practice you operate will determine the type of client you seek.
BusinessWeek September 11, 2006 Lauren Young	Taking Stock Of Your Adviser Many investors don't know how to evaluate the person in charge of their portfolios. These seven questions should help.
Financial Planning June 1, 2011 Bob Veres	Things I Just Don't Understand Is there any profession, anywhere, that's raised its own standards voluntarily, identified and reduced its own conflicts of interest voluntarily and lobbied harder on behalf of consumer protections than the financial planning profession over the past 30 years?
Financial Planning July 1, 2006 Marshall Eckblad	Chalk One Up for RIAs According to a recent survey, a majority of investors believe stockbrokers and investment advisers owe the same fiduciary responsibilities to their clients.
Financial Planning November 1, 2005 John Bowen	Small Steps, Big Results Financial advisers don't have to make sweeping changes in their businesses to alleviate some of their most pressing concerns, like: finding new wealthy clients... fighting for clients... growing assets... etc.
Registered Rep. November 1, 2002 David A. Geracioti	For Retaining Clients, a Client Retainer With many brokers at full-service firms gradually moving to asset-based fees, some investment advisers, in an effort to meet client needs and compete with larger firms, have been experimenting with flat annual retainers.
Financial Planning July 1, 2006 David J. Drucker	Fee-Based Confusion Cambridge, Commonwealth and Securities America aren't your father's broker-dealers. Although they count reps of all compensation stripes within their ranks, they're clearly leading the new generation to a more professional business model.
BusinessWeek April 11, 2005 Toddi Gutner	Broker Or Adviser? Be forewarned: If yours is employed by a brokerage, your interests come second
Investment Advisor September 2005 Mark Tibergien	Formulas for Success: The Price of Everything... If you're not adding profit into what each financial advisory client costs, you're losing money. Advisors who use a combination of performance fees tied to assets and a retainer tied to more complex planning are able to consistently demonstrate their value.
Financial Advisor July 2008 Rebecca Pomering	When Is The Price Right? To answer the question -- how much, or equally important, in what way should an advisor be charging -- one has to understand a number of things about an advisor's practice.
Financial Planning November 1, 2006 Marshall Eckblad	Advisor Pulse Financial planners are working hard to meet the needs of their retiring clients. But according to a recent survey, they might be doing so at their own expense.
Financial Planning March 1, 2006 Myra Rothfeld	The Technology Lever Small shifts in the ways you use office technology can make big changes in your financial planning practice.
Financial Planning March 1, 2012 Allan S. Roth	The Ethics Dilemma In theory, planners are expected to act as fiduciaries for their clients, meaning that a planner must put a client's best interests ahead of his or her own. In practice, no human being is truly capable of doing this because in the real world our ethics aren't pure.
Financial Planning September 1, 2005 Bryce Sanders	The Disgruntled Client How financial planners can know if they're about to lose a valued client relationship -- and what to do about it.
Financial Planning December 1, 2005 Beck & Tibergien	Is Your Price Right? A groundbreaking new study shows why it may be time for financial advisers to raise their fees.
Financial Planning April 1, 2006 Laurie Lennox	Know Your Team To be successful in the high-net-worth market, financial advisers must know their limitations and establish alliances with a network of qualified professionals to address client needs outside the expertise or abilities of the "quarterback."
Financial Advisor December 2003 David J. Drucker	So You Want To Charge Retainer Fees? Moving to retainer fees isn't just a computational change; it's a cultural one.
Financial Planning October 1, 2010 J. Scott Slater	On Beyond AUM More advisors should look to drive additional revenue from charging separate fees for value-added services.
Financial Planning November 1, 2008 Ingrid Case	Take It Off As former Wall Street institutions lie in ruins, experts are predicting that the forces that brought them down -- and changes that these downfalls may unleash -- will make life far different for financial advisors in the not-so-distant future.
The Motley Fool September 24, 2007 Saibal Saha	You Churn, They Earn Effective Oct. 1, a new SEC rule says that a broker-dealer can no longer charge fees for investment advice unless it agrees to act as a registered investment advisor with fiduciary responsibility for its clients.
Financial Advisor March 2012 Bill Bachrach	A Huge Opportunity Why flat fees are going mainstream.
Registered Rep. July 12, 2011 Kristen French	SEC Raises Performance Fee Threshold for Investment Advisers; CFA Backs Off Opposition to SRO Under an SEC order issued today, it will require considerably more wealth or assets for an investor to qualify to pay an investment adviser performance fees.
Registered Rep. January 19, 2011 Kristen French	In Dodd-Frank Report, SEC Champions User Fees Over SRO The study and report were meant to address a trifecta of problems: a history of weak oversight of investment advisers, current shortfalls in SEC funding and the regulator's rapidly expanding responsibilities under Dodd-Frank.
Financial Advisor July 2009 J. Michael Martin	Do Something! If modern portfolio theory and the stock market are hurting your advisory business, here are some things you can do about it.
Investment Advisor March 2008 Bob Clark	The Empire Strikes Back Wall Street's crafty response to its whipping over the Merrill rule.
Financial Planning September 1, 2005 Donald Jay Korn	The Evolving Practice Financial planning covers so many different strokes these days, for so many different types of folks, that it's difficult to generalize about the evolution of practice management.
Financial Planning March 1, 2010	Special Report: Your Practice Management Questions Answered Advisors answer questions about practice management: Branding... Planning for growth... Coping with revenue roller coasters... more...
Financial Advisor February 2, 2009 Jeff Schlegel	Surviving The Plunge Amid falling assets and revenue, advisors try to positions themselves for the eventual upturn.
Investment Advisor July 2007	Birth of a Profession Does history repeat itself? A recounting of the RIA profession's origins by Schwab provides some contemporary food for thought.
The Motley Fool October 18, 2007 Matt Koppenheffer	Solid as a BlackRock The investment firm reported strong third-quarter earnings.
BusinessWeek September 22, 2003 Der Hovanesian et al.	How to Fix the Mutual Funds Mess Hidden fees, lax boards, and now scandal. Here's what has to be done.
Financial Planning April 1, 2005 Donald Jay Korn	2015: What Will It Take To Survive? Four one-on-one interviews answer the most pressing question regarding a successful future in the financial planning business.
Financial Planning March 1, 2005 Katherine Vessenes	Million-Dollar Method Ready for the big time? This quiz will show how you match up with your financial advisory peers.
Financial Planning June 1, 2005 David J. Drucker	Inner Knowledge As financial advisers, prosperity is based on building long-lasting relationships with our clients. But how can we forge these bonds if we aren't certain of the value we bring to the relationship?
Financial Planning December 1, 2005 Joel P. Bruckenstein	The Software You Need Now Trends sweeping the financial planning industry are driving new technology solutions in the year ahead. NaviPlan... Financial Profiles... Morningstar... Engagement Systems... BridgePortfolio...
Financial Planning June 1, 2006	FP50: On the Cutting Edge Four broker-dealers have found success by creating their own unique business models.
Financial Planning January 1, 2006 John J. Bowen	Just Ask! Capturing more of your clients' assets is one of the most effective ways to grow your financial planning practice. Here's how to do it.