Registered Investment Adviser (RIA)

Registered Investment Adviser (RIA)

Registered Investment Adviser (RIA)

A registered investment adviser (RIA) provides investment advice for compensation and owes clients a fiduciary duty, subject to the SEC Marketing Rule.

A registered investment adviser (RIA) provides investment advice for compensation and owes clients a fiduciary duty, subject to the SEC Marketing Rule.

A registered investment adviser, or RIA, is a person or firm registered with the SEC or a state securities regulator that provides investment advice for compensation and owes clients a fiduciary duty. Registered Investment Advisers (RIAs) are subject to the SEC Marketing Rule and related record-keeping requirements, which govern how they may advertise performance, testimonials, and investment strategies.