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Registered Rep. September 29, 2005 John Churchill	Are You Charging Enough? With competition fierce -- and clients more informed than ever -- it's important to make sure that you are not selling yourself short. In fact, you may not be charging enough for your financial advisory services.
The Motley Fool July 15, 2008 Tom Hutchinson	Mutual Fund Advisory Madness If you use a financial advisor, you've probably been approached to invest in a diversified group of funds or a mutual fund advisory program. But be careful before you accept -- they may cost you more than your portfolio can afford.
Investment Advisor February 2007 Thomas D. Giachetti	When Should You Register? Should an investment advisor with $30 million of "assets under management" register with the SEC? It depends on whether the advisor has "qualifying" assets under management.
Investment Advisor September 2007 Kathleen M. McBride	A Trend Confirmed? Advisory fees overtake commission revenue at Commonwealth. So what does this mean for the independent broker/dealer industry? Will other firms soon reach the point at which fee revenue dominates?
Registered Rep. September 27, 2011 Joshua Brown	Opinion: In Defense of the Asset-Based Fee Model If there is a client who feels he is paying fees to a fee-based financial advisor and is unsatisfied with the service -- that client is able to make a single phone call to the custodian brokerage firm and terminate the advisor's fee agreement.
The Motley Fool October 18, 2010 Dan Caplinger	It's Time to Take Back Your $10 Billion Whether you think 12b-1 fees are bilking investors or a fair way to compensate financial professionals, the SEC needs your opinion.
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.
Investment Advisor November 2006 Thomas D. Giachetti	Defining Fiduciary What is a financial advisor's true fiduciary duty?
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 January 1, 2007 Marshall Eckblad	5 Questions A short interview with Edmond Walters, CEO of eMoney Advisors, about new ways in which advisory firms are serving clients in retirement.
Investment Advisor August 2005 Thomas D. Giachetti	Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners.
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.
Registered Rep. October 1, 2002 David A. Geracioti	Outgrowing the Series 7? Registered investment advisors must take the Series 65 exam. As the line between brokers and financial advisors blurs, what responsibilities do brokers that dispense advice and collect a fee based on assets have?
On Wall Street September 1, 2011 Alan J. Foxman	To Share Or Not to Share (Revenue) I'm preparing to merge my small brokerage firm with a registered investment adviser. Do we have to wait for FINRA approval before we can close the transaction?
Financial Advisor March 2012 Bill Bachrach	A Huge Opportunity Why flat fees are going mainstream.
Financial Planning October 2, 2007 Elizabeth O'Brien	Advisor Pulse A new study reveals that while 95% of all financial advisors believe they've talked about fees with their clients, only 66% of customers say their advisor has initiated a fee discussion with them.
Financial Planning October 1, 2011 Donna Mitchell	Knowing Their Worth Many advisors are squeamish about taking anything other than a flat percentage fee for assets under management.
Financial Planning January 1, 2007 Mike Suppappola	Compliance Tips Solicitation agreements have been around for decades. These relationships present myriad compliance issues, and advisors should keep in mind the following regulatory requirements.
Financial Planning July 1, 2008 Scott Schutte	Valuing Your Services Have financial planners themselves compromised the value of the service that is the foundation of nearly all client relationships: investment management? If so, what's the solution?
Financial Planning July 1, 2013 Patrick Sweeny	How to Talk About Your Fees Clients deserve straight answers on the ways they pay for your services.
Investment Advisor June 2007 Mike Patton	Up and Out For financial advisors, there's a big difference between imagining independence and being independent. Here, a newly independent advisor learns some lessons and wins clients.
Investment Advisor September 2005 Kathleen M. McBride	SMA and Wrap Uniformity The CFA (Certified Financial Advisor) insitute wants clients to see investment performance for separately managed accounts (SMA) or wrap fee accounts calculated in a uniform way in presentations.
Financial Planning October 1, 2008 Stacy Schultz	The Real Deal More than half of all registered independent advisory (RIA) firms bought or considered buying another advisory firm at least once in the past two years.
Registered Rep. September 10, 2009 David A. Geracioti	Fido's RIA Unit Cuts Fees The average financial advisor has taken a big hit in production and therefore net income. But RIA custodians are turning that into something of a marketing tool.
On Wall Street December 1, 2012 Alan J. Foxman	Sales Assistant Activities Limited by Finra Rules Our legal expert explains what your assistant can and cannot do with trade processing.
On Wall Street September 1, 2011 Nick Georgis	Taking The Hybrid Road As more advisors transition to independence these days, a growing number of them are choosing to adopt a hybrid business model that lets them conduct both commission-based brokerage business and fee-based advisory business. For many advisors, the hybrid road may offer the best of both worlds.
Investment Advisor March 1, 2011 Thomas D. Giachetti	Get Form ADV Right New requirements and changing deadlines could make filing Form ADV a tricky business.
Registered Rep. September 2, 2015 Megan Leonhardt	Volatility Not Enough to Slow RIA M&A Deals The first half of 2015 saw a significant increase in merger and acquisition activity among registered investment advisory firms.
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.
Registered Rep. April 1, 2012 Kristen French	Due Diligence: "Fee-Based" is a Four Letter Word for Financial Advisor Clients Do you use the term "fee-based" with clients and prospects? If so, well, don't.
The Motley Fool November 7, 2006 Dan Caplinger	When Your Advisor Quits Facing the retirement of a trusted financial advisor can be traumatic. By remaining objective and cautious during your transition to a new advisor, you can take steps to ensure that you will continue to receive the good advice you've come to expect.
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.
Investment Advisor August 2009 Angela Herbers	Find the Fit First Sound Financial Planning will take anyone as a client: as long as they'll pay the minimum planning fee, and they buy into to the comprehensive life planning approach.
Financial Advisor February 2007 Rebecca Pomering	Four Horsemen Who Missed Their Appointment Things were pretty good for the profession in 2006, but will financial advisors be hearing the hoof beats soon?
Financial Advisor September 2008 Rebecca Pomering	Picking A CPA Mate The concept of financial advisors partnering with CPAs is not a new one. But if the strategic fit isn't good and if the partnership has not been forged with deliberate, thoughtful planning, the results won't be merely disappointing, but disastrous.
The Motley Fool November 12, 2004	Get Those Annual Fees Waived If you've ever wondered whether there's any way to get a credit card company to waive its annual fee, there's no harm in asking.
The Motley Fool May 8, 2007 John Rosevear	Are Advisor-Sold Funds Ever Worth It? In an era when anyone can get market-level performance with a few minutes' effort by buying an index fund from somewhere like Vanguard or T. Rowe Price, advisor-sold funds are harder to justify than ever.
Financial Planning October 1, 2008 Marie Swift	The Big Ask As the financial planning industry has evolved over the years, so have the relationships you enter into with clients.
Registered Rep. March 1, 2005 Chris O'Leary	The High Cost of Admission To justify their existence in client portfolios, funds of funds need to post double-digit returns in order to really experience some net (read: after-fee) gains. And 2004 didn't deliver on these promises.
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.
BusinessWeek November 19, 2007 Anne Tergesen	Should You Buy from an Adviser? Brokerage firms may have incentives to push securities in their inventories.
Financial Advisor May 2005 Raymond Fazzi	Betwixt And Between Hybrid advisors work in both the fee-based and commission worlds.
Financial Advisor November 2010 David Lawrence	Back In The Fold? Will the new regulations force independents to return to broker-dealers?
Registered Rep. December 4, 2012 Jerry Gleeson	Don't Fear Your Fees RIAs are loathe to increase rates, believing it alienates clients. But industry insiders say advisors have more juice than they suspect. Here's how to get a raise.
Investment Advisor October 2010 Thomas D. Giachetti	Custody: Why You May Actually Have It Advisors responsibilities have changed under the SEC's new custody rule.
On Wall Street November 1, 2011 Alan J. Foxman	The Uncooperative Client Questions about negligent clients, trademarks, and email archiving are discussed.
The Motley Fool December 21, 2004 Selena Maranjian	Fed Up With Brokerage Fees? Are you being charged unnecessary fees on your retirement account? You can do better.
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.
Financial Planning June 1, 2007 Kathy Gevlin	Advisor Pulse The happiest financial advisors really do put their clients first, asserts the first study of advisor satisfaction.
Investment Advisor June 2006 Kathleen M. McBride	Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways.