Commission Compliance Financial Advice Government 
Nerd's Eye View
DECEMBER 6, 2023
Over the past several years, the financial services industry has undergone a tremendous evolution in how financial advisers deliver and charge for their services. While commission-based models remain in use, fee-for-service models (including AUM, hourly, retainer, and subscription) have become increasingly popular.
Sara Grillo
JANUARY 9, 2023
The move to financial planning transparency is aflame! in all aspects of financial advice, with a special focus on Advice Only, Flat Fee, and Hourly service models. Specific examples: Educating financial advisors of all business models (AUM, fee only, commission, etc.) Client advocacy.
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Inside Information
OCTOBER 30, 2021
The argument with the regulators is that the more they require all advisors (including, of course, wirehouse brokers who call themselves ‘advisors’) to behave as fiduciaries, the more likely investors will be to receive advice in their interests, quality investment counsel, low portfolio expenses and fewer conflicts getting in the way.
Sara Grillo
SEPTEMBER 12, 2022
.” It brings to light the fundamental question of the role that institutions play in client outcomes, whether those institutions are truly putting the interests of the retail investor over those of their members, and the delicate balance between governance standards and the oppression of individual autonomy.
Sara Grillo
SEPTEMBER 26, 2022
Salaske: Yeah, I don’t agree with the CFP Board becoming any type of regulator whatsoever over financial advisors, financial planners, whatever you wanna call us in the advice space. Securities and Exchange Commission. Securities and Exchange Commission. Grillo: Next question. 2022, August 1). 2013, March).
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