Compliance professionals serving RIAs have observed that the SEC is paying particular attention to the fees advisers charge compared to what they relate to their clients through ADV disclosures and ...

One common topic of discussion at financial advisor conferences is fee compression vs. margin compression. Several years ago, the industry press was predicting that robo advisors and the proliferation ...

BNY Pershing, the giant clearing and custody firm, is gingerly introducing new fees based on assets to its registered investment advisor clients, including a charge on customers’ cash held in accounts ...

What Is a Fee-Based Advisor? A fee-based advisor is a finance professional who is paid by the fees they charge their clients. While they are primarily compensated through client fees, they may also ...