Nerd's Eye View

MARCH 21, 2025

of advisor compensation, while commission-based revenues have declined to 23% of an average advisor's revenue.

Financial Planner

Nerd's Eye View

JANUARY 24, 2025

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that while overall financial advisor headcount remains relatively flat, the RIA channel continues to gain share in terms of both headcount (as brokers break away to start their own independent firms and aspiring advisors seek (..)

Financial Planner

Nerd's Eye View

JULY 11, 2025

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that, amidst the growing number of RIAs it supervises, the Securities and Exchange Commission (SEC) is moving ahead with a potential plan to raise the $100 million regulatory assets under management threshold for SEC registration, (..)

Financial Planner

Nerd's Eye View

AUGUST 6, 2025

And when something has been provided for 'free' for so long, any fee – no matter how reasonable – can induce sticker shock (even if much, or even all, of the fee is being rebated through the statement credits)!

Clients

Nerd's Eye View

APRIL 11, 2025

Senate has confirmed Paul Atkins to be the next Chair of the Securities and Exchange Commission (SEC). Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that the U.S.

Financial Planner

Nerd's Eye View

MAY 19, 2025

Training programs for new financial advisors have traditionally followed a sales-focused, sink-or-swim approach that primarily paid on commission for product sales. While some of these programs still exist, the role of an associate advisor has evolved alongside the broader financial planning profession.

Financial Planning

Validea

JANUARY 13, 2025

We analyze Buffett’s key principles including: His famous “circle of competence” concept and how it both helped and potentially limited him The evolution of his investing strategy from “cigar butt” value investing to quality businesses His views on margin of safety and how it varies based on business quality Why he believes (..)

Financial Planner

Zoe Financial

JANUARY 28, 2025

3 It's Expensive Frequent trading and trying to time the market will rack up brokerage commission costs, particularly for smaller investors. If there is a change in the fundamental reasons for you to believe in a stock, it is important to be willing to adjust your investments.

Marketing

Investment Writing

JANUARY 23, 2025

Disclosure: If you click on an Amazon link in this post and then buy something, I will receive a small commission. . “If the plural form of the head noun does not end in s , however, the apostrophe is always used: the people’s republic, a children’s hospital,” says Einsohn. English grammar sure is complicated.

Commission

Truemind Capital

JULY 25, 2025

For managing a single portfolio size of INR 100 Cr, he gets commission in the range of INR 1-1.5 For the uninitiated, the traditional wealth management industry is based on generating commissions by selling investment products. Cr per annum without the client exactly knowing about it.

Fee Only

Nerd's Eye View

NOVEMBER 20, 2024

One of the best sources of guidance from the Securities and Exchange Commission (SEC) is a 1986 interpretive release that unofficially sets forth a framework for satisfying the fiduciary duty to seek best execution of securities transactions in client accounts.

Fiduciary Duty

Darrow Wealth Management

NOVEMBER 4, 2024

Advisors that receive commissions from selling mutual funds, insurance, annuities, or other products are incentivized to push products, leaving less time for advice. SEC advisor search The Securities and Exchange Commission offers an online search for investors to research registered investment advisory firms or advisors by name.

Financial Advisor

Trade Brains

JUNE 29, 2025

Specifically, the Securities and Futures Commission (SFC) will oversee key players. It aims to solidify its position as a global crypto hub. The new plan prioritises strong investor protection and risk management. Authorities target comprehensive regulation. This includes digital asset service providers and exchanges.

License

Wealth Management

JUNE 26, 2025

and Orchard Park Real Estate Holdings, was originally charged in January by the Securities and Exchange Commission and DOJ. Mason, who ran Rubicon Wealth Management, a registered investment advisor in Gladwyne, Pa., He pleaded guilty to all of the criminal charges.

Clients

Tobias Financial

JUNE 16, 2025

SEC registration does not constitute an endorsement of the firm by the Commission, nor does it indicate that the advisor has attained a particular level of skill or ability. The firm only transacts business in states where it is properly registered or is excluded or exempted from registration requirements.

Planning

Zoe Financial

JUNE 18, 2025

In addition to salary, bonuses, and commissions, earnings also include investment income. By understanding how each of them applies to your finances, you can set a baseline for your wealth goals and how they will be accomplished. 5 Components of Financial Literacy 1. Earn Earnings go beyond just a paycheck.

Insurance

Advisor Perspectives

JUNE 13, 2025

the investment giant famous for low-cost index funds, is seeking regulatory approval to expand its signature tax-saving fund structure — as anticipation grows that the Securities and Exchange Commission under Paul Atkins will soon embrace the design en masse. Vanguard Group Inc.,

Taxes

Calculated Risk

DECEMBER 26, 2024

Note: RI is mostly investment in new single-family structures, multifamily structures, home improvement and commissions on existing home sales. Through November, starts were down 4.3% year-to-date compared to the same period in 2023 (due to a sharp decline in multi-family starts). New home sales were up 2.1% year-to-date through October.

Sales

Financial Symmetry

FEBRUARY 20, 2025

Source: Avantis Investors is an investment advisor registered with the Securities and Exchange Commission. Diversification does not assure a profit, nor does it protect against loss of principal. Download this blog post as a PDF

Marketing

Truemind Capital

JANUARY 24, 2025

Too many products: If your portfolio has more than 20 products in varied proportions, then there is a high likelihood that your advisor is selling you new and new products that pay higher commissions than the existing ones. Usually, equity products offer higher commissions than debt which offer higher commissions than Gold.

Commission

Darrow Wealth Management

FEBRUARY 13, 2025

Fee-only firms are unique as they do not receive commissions from selling financial products, such as insurance policies or investment products. Although some firms use these compensation methods, the majority base fees on a percentage of assets under management (AUM) for their services.

Fee Only

Carson Wealth

JULY 16, 2025

ETFs incur trading and commission costs similar to stocks and frequent trading can negate the lower cost structure of an ETF. Exchange traded funds (ETFs) and mutual funds are sold only by prospectus. Investing in ETFs and mutual funds is subject to risk andpotential loss of principal.

Investing

Nerd's Eye View

OCTOBER 28, 2024

But over the past 20 years, the shift from commission-based to recurring revenue (AUM and subscription fee) models has, for the first time, allowed advisory firms to begin to size and scale up.

Financial Advisor

Harness Wealth

NOVEMBER 12, 2024

Timing of Bonuses and Commissions High-income individuals who receive significant bonuses or commissions may also have flexibility in timing these payouts, depending on their arrangement with their employer.

Tax Planning

Wealth Management

JULY 18, 2025

According to a recent survey commissioned by Kestra Financial and Bluespring Wealth Partners, less than half (41%) of first-generation advisors have transferred equity to successors, and just 6% of those planning to retire within 10 years have a fully documented succession plan.

Estate Planning

WiserAdvisor

JULY 9, 2025

Today, you can choose from different types of financial advisors , such as fee-only, commission-based, hourly, AUM-based, or whatever works for your financial situation. You can also choose financial advisors who work on a commission-only basis. You also do not need to commit forever. So, what do you do?

Financial Advisor

Nerd's Eye View

MARCH 14, 2025

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that Securities and Exchange Commission (SEC) Commissioner Hester Peirce suggested in a recent interview that she would like to see the SEC give advisors more leeway to provide customized solutions to clients (rather than feeling (..)

Financial Planner

Tobias Financial

NOVEMBER 4, 2024

SEC registration does not constitute an endorsement of the firm by the Commission, nor does it indicate that the advisor has attained a particular level of skill or ability. The firm only transacts business in states where it is properly registered or is excluded or exempted from registration requirements.

Marketing

NAIFA Advisor Today

JANUARY 6, 2025

Despite the initial shock and challenges of working on straight commission, Tom leaned into his natural work ethic, his extensive network, and his determination to succeed. However, he quickly discovered that the role centered on life insurance, something he hadnt been aware of beforehand.

Financial Services

Trade Brains

JULY 8, 2025

The Securities and Futures Commission (SFC) approved few virtual asset licenses. Stringent anti-money laundering controls are essential too. Furthermore, compliance costs appear very high. The HKMA’s caution mirrors another city regulator. Just 11 trading platforms have gained SFC approval so far.

License

Tobias Financial

AUGUST 5, 2025

SEC registration does not constitute an endorsement of the firm by the Commission, nor does it indicate that the advisor has attained a particular level of skill or ability. The firm only transacts business in states where it is properly registered or is excluded or exempted from registration requirements.

CFP

Wealth Management

AUGUST 6, 2025

The Securities and Exchange Commission, Financial Industry Regulatory Authority and other regulatory bodies have issued preliminary guidance on AI; dozens of countries and multiple U.S. In addition to model transparency, regulators are racing to catch up with AI developments broadly.

Wealth Management

WiserAdvisor

JUNE 16, 2025

Securities and Exchange Commission (SEC), the thresholds may vary slightly — say a net worth of $1.5 It is easy to get caught up in growing your wealth, chasing high-net-worth investment opportunities , or expanding your financial portfolio, but wealth preservation deserves just as much of your attention. According to the U.S.

Wealth Management

Wealth Management

JULY 30, 2025

The asset manager is looking to flip two municipal-bond funds and one investment-grade corporate debt fund into actively-managed ETFs, according to a filing with the US Securities and Exchange Commission.

Estate Planning

Harness Wealth

JANUARY 29, 2025

Transaction costs: Frequent trading to harvest losses can result in higher costs, including brokerage fees and commissions, and an increased risk of tracking errors. These issues can erode the benefits of tax-loss harvesting, particularly for smaller portfolios.

Taxes

Midstream Marketing

JANUARY 19, 2025

Yes… but if that’s the path you want to go down, the Securities and Exchange Commission would like to have a word with you. Sure, you could just ask them politely to take a few moments to leave some thoughts on your page, but if you offer something like a discount that will really push them over the edge, right?

Marketing

SEI

JULY 15, 2025

Transparency and reporting: Public BDCs must file regular disclosures with the Securities and Exchange Commission (SEC). It is important to evaluate whether a fund’s net return justifies its cost and compare fee terms across offerings. Balance opportunity and risk.

Distribution