Compensation Models
Overview:
Learn about the fee versus commission compensation models for financial advisers
Published on April 09, 2010
Commissions and Referral Fees
Professional Standards:
Commissions and referral fees are important issues to consider for personal financial planners and other tax professionals
Published on March 05, 2013
Inside Information - May 10, 2013 Special Report Fee Samples
Article:
Advisors from all over the U.S. marketplace provide information about their fee structures, including the amounts and how the fees were determined
Published on May 13, 2013
An In-Depth Review of Six Business Models
Presentation:
This presentation will discuss overview of business models, investment advisory options, how to be successful with hourly/retainer fees as only source of revenue and much more
Published on August 30, 2012
BCG IAO Survey Results
Survey:
Survey from Boston Consulting Group that found that RIAs would prefer oversight by the SEC with user fees than an SRO model
Published on December 21, 2011
E-Column - May 2013
Article:
In this e-column, Bob Veres discusses a very touchy subject; the fees you should charge your clients
Published on May 06, 2013
Business Models Investment Adviser
Article:
Learn about the Investment Adviser business model, its structure, how to implement it, and the registration and compliance issues.
Published on October 25, 2010
Business Models Solicitor/Referral
Overview:
Learn about the Solicitor/Referral business model, its structure, how to implement it, and the registration and compliance issues.
Published on April 08, 2010
BCG IA Oversight Economic Analysis
Report:
...Boston Consulting Group that found that establishing a SRO to oversee investment advisers would cost at least twice as much as funding an enhanced SEC examination program via user fees
Published on December 21, 2011
CPA/PFS - A Credential By Any Other Name is Not the Same
Article:
An article discussing the benefits of the CPA/PFS credential.
Published on January 15, 2013
Financial Services Reform
News:
Stay up to date on legislative and regulatory issues relating to financial services reform.
Published on April 30, 2013
Illustrative Engagement Letter for an Investment Advisory Agreement
Sample Letter:
The following agreement is for investment advisers who manage money on a discretionary basis. However, the agreement can readily be tailored to other forms of advisory relationships whereby the adviser plays some role in managing the investments and portfolio of his or her client.
Published on September 23, 2010
Guide to Developing and Managing a CPA PFP Practice
Practice Aid:
The Guide to Developing and Managing a CPA PFP Practice is geared toward the CPA who is interested in adding or expanding Personal Financial Planning (PFP) to their practice. The guide will lead you through a range of business processes most frequently encountered when developing and managing a CPA Personal
Published on June 08, 2012
Business Models Registered Representative
Overview:
Learn about the Registered Representative, its structure, how to implement it and the registration and compliance issues.
Published on April 08, 2010
Illustrative Letter for a Limited Service Engagement
Sample Letter:
A sample PFP engagement letter you can use when providing only a limited service engagement. Although you should consult legal counsel before drafting any client agreements, this sample will get you started.
Published on September 20, 2010