Why ‘Best Pay’ is not the right question
Don't focus on best pay, by itself. Look at it in the context of how you can build the most value for your advisory practice over time.
July 10, 2020
How Will the COVID-19 Pandemic Affect Advisor Compensation?
An accelerating technology landscape and a pandemic-induced reset on how people think about their health and financial security are bringing a wave of change to wealth industry compensation.
June 29, 2020
3 Commonly Overlooked Records Subject to SEC Rule 17a-4
Don't overlook these three categories of documents that meet the books and records standard under SEC Rule 17a-4 for broker-dealers.
November 1, 2019
Tips for Surviving a FINRA Audit of 17a-4 Compliance
Tips to help broker-dealers be “audit ready” for compliance with the records retention provisions of Rule 17a-4 of the Exchange Act.
October 30, 2019
Wealth Management Compensation in a Reg BI World
An overview of Regulation Best Interest (Reg BI) and the changes it will bring for investment firms and advisors, as well as customers.
October 17, 2019
Understanding SEC Rule 17a-4
This article clarifies various aspects of SEC Rule 17a-4 regarding the preservation and maintenance of records.
October 16, 2019
25 Ways your Incentive Compensation Program is Leaking Profits from…
Here's how your financial services business may be losing revenue and profits through a wide range of seemingly small inefficiencies, poor procedures, misalignments, and human errors.
January 28, 2019
Incentive Compensation Management Trends
How your firm performs in achieving its strategic business objectives is the result of many factors, but few are as important as your advisor incentive compensation plan. With so many…
October 15, 2018
What Advisors Really Don’t Like About Their Incentive Compensation Plans
Here are six things advisors don't like about their firm’s incentive compensation plans and how these issues can impact the achievement of performance objectives.
July 16, 2018
Top 5 questions asked by Xtiva customers and prospects
Jeff Marsden answers top questions Xtiva customers and prospects ask about incentive compensation, sales performance and technology in wealth management.
June 18, 2018
Mistakes advisory firms make with incentive compensation
Incentive compensation is among the most important aspects of the advisory business, but many firms are making mistakes that hinder their performance.
June 4, 2018
The Destination is Maximum Advice
What is your financial advisory business doing to ensure your customers receive the best advice you can deliver?
April 12, 2018
Women making a difference in financial services
Observations from the 3rd annual Women to Watch awards luncheon in New York City on March 13, 2018.
March 15, 2018
Top Reads on Incentive Compensation
Seven articles that offer valuable insights into incentive compensation in the financial industry.
March 13, 2018