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Everything You Need to Know About Registered Investment Advisors

Written by admin. Posted in Ria compliance, Ria registration services, Sec compliance consultants

Ria money transfer

A Registered Investment Advisor (RIA) is a a firm or advisor that works in the invests advisory industry and is registered ether with the state securities authorities or the Securities and Exchange Commission (SEC).

These RIA consultants, although similar to investment advisors, are not the same and it’s important to not confuse the two. Financial advisor is a fairly general term that typically refers to brokers or registered representatives. Investment advisors refers to an individual or organization that is registered with a securities regulator that provides advice about these securities to their clients.