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Financial Advisor December 2009 Roy Diliberto	Aligning Your Compensation With Your Services The compensation model advisors choose depends on their service proposition.
The Motley Fool October 30, 2006 Dan Caplinger	Avoid the Boiler Room Some financial advisors know more about sales than they do about investing. Finding good financial advice is tough. Investors with little or no knowledge about their finances are extremely vulnerable to disreputable professionals.
Registered Rep. March 31, 2015 Diana Britton	How Advisors Are Paid The ascendancy of fee-based compensation in the independent broker/dealer space continues.
Investment Advisor February 2010 Bob Clark	Clark at Large: Declaration of Independence Starting with fiduciary duty, I propose standards for a new profession.
Registered Rep. June 30, 2010 Christina Mucciolo	Clients, though Mostly Satisfied, in the Dark about FA Fees, Says Study Overall advisors and investors are still confused about what the advisors' fiduciary responsibility is exactly.
Financial Advisor November 2012 Mary Rowland	Tough Test An entrepreneur evaluates advisors for the wealthy. These families now have a "search firm" to perform due diligence on advisors and help the families find exactly the right one.
Investment Advisor January 2008	The Compensation Food Chain Performance-based compensation is the future of investment advisor compensation.
Financial Advisor November 2012 Jerilyn Klein Bier	No More Secrets New 401(k) fee disclosure rules could generate big opportunities for advisors.
Registered Rep. June 3, 2015 Megan Leonhardt	Compensation Survey 2015: How Advisors Stack Up Advisors whose business mix leans more toward fees make almost twice as much as those who still lean heavily toward commissions, according to data collected in WealthManagement.com's compensation survey.
The Motley Fool September 6, 2006 Dan Caplinger	Fend Off Fund Fees Here are tips on how to avoid unnecessary mutual fund fees and keep the money for yourself.
Financial Advisor July 2007 Richard B. Wagner	Now What? With FPA's win in its lawsuit against the SEC, financial advisors need to reflect on what that means for the profession.
Financial Planning September 1, 2008 Blaine Aikin	New Disclosure Regimen Planners are facing considerable competition from brokers in the arena of retirement plans, and the reality that brokers typically don't work as fiduciaries is a thorn in planners' sides.
Investment Advisor February 2007 Melanie Waddell	Clear Road Ahead Commonwealth's retirement platform, Preferred Portfolio Services Retirement Solutions, keeps financial advisors compliant with ERISA and PPA.
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?
Registered Rep. July 24, 2012 Jerry Gleeson	Fee Disclosure - Can You Handle the Truth? New federal rules are forcing advisors to spell out what they're charging for running 401(k) plans and what their clients are getting for the money. It could lead to some difficult conversations.
Financial Planning November 1, 2006 Bob Veres	Fiduciary Fire Index At the start of the new year, the Pension Protection Act will go into effect and expose all over again the fact that, although we all like to talk about fiduciary standards, there really isn't any consistent definition of the term.
Financial Advisor December 2008 Janet Aschkenasy	Who Discloses What? New regulations clarify the duties of qualified retirement plan fiduciaries and advisors.
Investment Advisor February 1, 2011 Bob Clark	An Old Dog Learns Some New Tricks Or a funny thing happened on the way to The Dodd-Frank Wall Street Reform Act.
Registered Rep. June 2, 2015 Megan Leonhardt	Compensation Survey 2015: The Slowly Disappearing Commission Moving from a commission-based business to one based on fees, advocates argue, removes conflicts and puts advisors on the same side of the table as their clients.
Financial Planning September 1, 2010 Marc Freedman	Word Games The public wants to hire financial planners who can visibly showcase an ongoing commitment to their words and promises.
Financial Planning December 1, 2012 Deena Katz	Great Expectations? Think British. New Rules to Apply there in 2013 New U.K. regulations will force advisors there to make big changes. You should consider following their lead.
The Motley Fool February 3, 2010 Amanda B. Kish	This May Save the Mutual Fund Industry Finally, investment advisors are wising up. An ongoing change in how many financial advisors get paid is having broad implications for the business.
On Wall Street March 1, 2010 Bo Bohanan	Do You Really Want To Be A 401(k) Consultant? It is fairly easy to spot the advantages and opportunities of working in this marketplace. But, not all of the pitfalls are as evident.
Financial Planning April 1, 2008 Bob Veres	The Myths of Our Age These days, the planning profession seems to be caught in a web of myths and half-truths, which make it difficult for us to talk about a lot of issues. Here are some common myths regarding the financial planning industry.
Financial Advisor April 2005 Anthony & Diliberto	The Foundations Of Trust Financial advisors need to ask about their prospects' values before they ask about their account values. Good questions are the key to a better advisory business.
The Motley Fool February 22, 2010 Sheryl Garrett	Not Just Another "F" Word: Why the Fiduciary Standard Matters There is currently a heated debate on Capitol Hill about financial reform. However, in my book, the most important component of the proposed regulations is the reregulation of financial advice.
On Wall Street July 1, 2010 Frances A. McMorris	Confusion Reigns Among Wirehouse Advisors On The Fiduciary Issue With all the frenzy over the call for a universal fiduciary standard for all financial and investment advisors, it appears that those in the wirehouses don't really understand the debate.
Financial Planning November 1, 2010 Trone & Harvey	The New Rules of the Road The following four regulatory reforms will likely have the most impact on the financial services industry over the next 24 months. Here's a short synopsis of what they will require.
Financial Advisor October 2, 2009	Letters Great August issue... "Maybe MPT Isn't Dead"... "Transparency: A Model For Our Profession"... "Do Something!"...
Financial Advisor February 2011 Roy Diliberto	A Good Business Model The fiduciary standard is essential for financial planning to be embraced as a profession, yet examples abound of advisors who ignore it.
On Wall Street September 1, 2012 Elizabeth Wine	Financial Advisors Turn to the 401(k) Market for More Business Advisors look to 401(k) plans as fertile ground for business.
On Wall Street May 1, 2013 Bill Willis	How Advisors Can Prepare for Compensation Disclosure Rule New rules to disclose recruitment compensation may be blooming soon.
Registered Rep. June 1, 2004 Kevin McKinley	Fee-ling Good Tips for financial advisors on establishing and maintaining fee-based relationships the right way.
BusinessWeek April 11, 2005 Toddi Gutner	Broker Or Adviser? Be forewarned: If yours is employed by a brokerage, your interests come second
Investment Advisor December 2009 Kathleen M. McBride	B/D Briefing: Surprise Broker Sentiment Most appear to support a fiduciary standard.
Financial Planning June 1, 2008 Bob Veres	The Plan This is an interim report on the market share erosion experienced by our Wirehouse ("Member") firms versus "fiduciary" and "consumer-focused" financial planners.
Financial Planning April 1, 2012 Donna Mitchell	The BIG Fix Familiar as 401(k)s are, planners love to hate them, and they'll readily cite long lists of faults with the plans themselves, as well as the way the $2.8 trillion 401(k) industry operates.
The Motley Fool June 20, 2007 Dan Caplinger	The $12 Billion Problem It's time to stop a hidden fund fee. No one is arguing that financial professionals don't deserve to get paid for their work. But there are big problems with using 12b-1 fees to do it.
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 Advisor May 2012 Michael J. Mcdermott	Day Of Reckoning Fee-based advisors should benefit when 401(k) participants soon find out the cost of their plans.
Registered Rep. June 3, 2010 Kristen French	For Fiduciaries, Fee Monitoring Gets More Scrutiny Advisors who act as fiduciaries have to keep a closer watch over fees and expenses than ever before.
Investment Advisor November 2005 Melanie Waddell	Take Your Pick Retirement plan providers are tempting advisors with numerous products and services.
Investment Advisor September 2008 Mike Patton	B/D or RIA? The Case for the Registered Investment Advisor After considering the different options, one advisor explains why he opted for the registered independent advisor model.
Financial Advisor December 2009 Mary Rowland	Rough Road The rules on providing investment advice to 401(k) plan participants have been shifting, and the end of the controversy is not in sight.
Financial Advisor March 2006 Nancy Lininger	Letters to the Editor The New Advisory-World Order: Commissioned reps have lost clients over the years to discount brokers, day traders and now, the divine fee-only advisor. Firms embracing fees and commissions, and offering the most services and compensation options, will be reborn.
Investment Advisor October 2007 Robert F. Keane	Transparency and Respect Full disclosure and a willingness to have the "hard conversations" are the cornerstones of Jim Dew's approach to his clients and the financial planning profession.
Registered Rep. December 7, 2011 Philip Palaveev	The Say on Pay: Registered Rep.'s 2011 Compensation Survey Financial advisors continue to expand their practices, work with more clients and receive ample compensation for their efforts.
Financial Advisor September 2012 Jeff Schlegel	Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds.
Investment Advisor June 2008 Mike Patton	Lessons Learned As the road smooths after a year of independence, a registered independent advisor shares his insights.
Registered Rep. July 8, 2010 Michael Stillman	For 401k Advisors, Comp Models Must Change In the short-term, financial advisors will need to adjust their 401(k) fee arrangements. For the long-term, registered reps may find it necessary to work with -- or become -- registered investment advisors.