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Advisor Fees

BY NAPA Net Staff | 8/5/2022
To better understand the choices that investors face when evaluating financial advisers, Pew has examined how RIAs and dual registrants are compensated, what affiliations they have, and what actions... Read More
BY Nevin E. Adams, JD | 5/13/2022
Recordkeeping is a tough, low-margin business—one in which, ironically, there has always been a greater willingness to “squeeze” (versus, say asset-management)—this week, we asked readers to share... Read More
BY Ted Godbout | 10/27/2021
As investors become more fee-aware and financial advice continues to favor fee-based relationships, a new study finds that advisors are increasingly considering nontraditional fees to align their... Read More
BY Nevin E. Adams, JD | 7/30/2021
One of the highly anticipated panels at the 2021 NAPA 401(k) Summit is focused on strategies on how to avoid that “race to the bottom”—and NAPA-Net readers have given our expert panel some data to... Read More
BY Ted Godbout | 3/10/2021
The new edition of the 401k Averages Book reveals that 401(k) total plan costs declined for both small and large retirement plans, with investment fees leading the decline, though smaller... Read More
BY Nevin E. Adams, JD | 2/26/2021
A recent survey of large plan sponsors suggests a surge in interest in conducting a fee study this year—so, how about the plan sponsor clients of NAPA-Net readers? Now we all know that actions... Read More
BY Nevin E. Adams, JD | 2/22/2021
A recent survey of large plan sponsors suggests a surge in interest in conducting a fee study this year—how about the ones you work with? Now we all know that actions speak louder than words—and... Read More
BY NAPA Net Staff | 2/26/2018
How do advisors and their financial institutions determine the reasonableness of their fees?In a recent blog post, noted ERISA attorney Fred Reish explored that issue – starting with the definition... Read More
BY NAPA Net Staff | 2/5/2018
The number of plan sponsors calculating and benchmarking fees in the past 12 months has increased – but is it having an impact?The number of plan sponsors that calculated their DC plan fees within... Read More
BY Ted Godbout | 2/2/2018
New survey results from TD Ameritrade suggest that three-quarters of Americans are in the dark when it comes to 401(k) fees.The survey of more than 1,000 investors finds that the vast majority of... Read More
BY Ted Godbout | 12/29/2017
While stated fees have remained stable, RIAs appear to be increasingly discounting their fees and are formally unbundling their fee structures in response to a changing wealth management landscape... Read More
BY David Levine, JD | 12/7/2017
Today, retirement advisers face the never-ending worry of commoditization.Recently, this reality hit home for me. An outstanding retirement adviser who had bent over backwards for her client — often... Read More
BY Ted Godbout | 7/7/2017
While the most commonly used advisor compensation method remained flat basis points, more plans are electing a tiered method, according to a new report by Ascensus.The report, “Inside America’s... Read More
BY Ted Godbout | 6/5/2017
While fee compression is a concern for many broker-dealers and advisors, the more they can demonstrate the value they provide to clients, the less likely they will feel pressured to lower their fees... Read More
BY NAPA Net Staff | 3/17/2017
Fee compression is driving growth in passive strategies – but a new survey finds opportunity in the trend, even for active managers.The survey, which is the product of a partnership between Cerulli... Read More
BY NAPA Net Staff | 12/27/2016
Having squared away the three meanings (past/present and future) of “level-fee fiduciary,” noted ERISA attorney Fred Reish looks at the kinds of payments or benefits that will “un-levelize” a level-... Read More
BY NAPA Net Staff | 12/19/2016
The label “Level Fee Fiduciary” has been used for many years with one meaning, but the Best Interest Contract (BIC) Exemption has used it for a different purpose and, depending on your reading, a... Read More
BY NAPA Net Staff | 12/2/2016
Another broker-dealer has opted to retain commission-based retirement accounts under the DOL fiduciary rule.According to a report in FinancialPlanning citing a company memo sent to advisers, Wells... Read More
BY NAPA Net Staff | 11/17/2016
What’s in your wallet? Not commissions on advising retirement accounts if you work for Capital One Investing.The online and retail brokerage arm of Capital One Financial has announced its decision to... Read More
BY NAPA Net Staff | 11/9/2016
Even as the industry takes stock of what President-elect Trump might do to the Labor Department’s fiduciary regulation, another firm says it will stop offering commission-paying retirement accounts.... Read More
BY Fred Barstein | 11/7/2016
More and more plan sponsors are talking about paying their DC providers like record keepers and advisors through a flat fee arrangement rather than asset based. The DOL conflict-of-interest rule will... Read More
BY NAPA Net Staff | 11/2/2016
Another broker-dealer has decided to continue supporting both fee-based and commission-based retirement accounts.The latest is Cambridge Investment Group, Inc., which says it is in the final stages... Read More
BY NAPA Net Staff | 11/1/2016
Citing a desire to support “flexibility and choice” for investors working with their financial advisors, Cetera Financial says it will continue to support the use of commissions after the Labor... Read More
BY NAPA Net Staff | 10/28/2016
Add Raymond James to the list of broker-dealers that will continue to support the use of commissions in servicing retirement accounts.According to InvestmentNews, CEO Paul Reilly announced during an... Read More
BY NAPA Net Staff | 10/27/2016
If neutral factors are used to determine the relationship of compensation between different categories of investments and services, how is the compensation determined?In a recent blog post, ERISA... Read More

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