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Keyword: Fee-based accounts

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Partners discussing new plans

Annual PriceMetrix report provides insights for advisors

Partners discussing new plans

Firms share their plans for both fee-based and discretionary platforms

Female advisor meeting with male client at hotel lobby

Studies show investors are largely satisfied with the advice they receive

African american business man using a tactile tablet over white background - Black people

Human advisors could benefit from adopting a robo approach, report suggests

  • By: IE Staff
  • June 6, 2019 October 31, 2019
  • 13:19
Praise and critique for fee-based support

While the category rating stayed the same, the satisfaction gap widened

senior couple sitting at table with financial advisor

Self-directed investors prefer commissions-based relationships

  • By: IE Staff
  • February 19, 2019 October 17, 2019
  • 15:35
Closeup of mallet being hit on stacked coins at table in courtroom

The firm admitted it failed to prevent the double charging of clients who held mutual funds that paid embedded fees within fee-based accounts

gavel with $100-bill background

More than 6,000 clients in fee-based accounts were charged a higher fee than they should have been

gavel with $100-bill background

The dealers’s approach to supervisory reviews effectively excluded fee-based accounts with large, uninvested cash holdings

More than 250,000 clients have overpaid on fees