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Registered Investment Advisor - RIA
What does it mean?
An advisor, registered with the Securities and Exchange Commission, who manages the investments of others.
In Other Words...
This registration doesn't mean that the person is recommended by the SEC, it simply means that they are regulated by the SEC.
In general, an RIA with more than $25 million under management must register with the SEC. RIAs managing less than $25 million are registered at the state level.
Related Links
Shopping for a Financial Advisor - Deciding on a financial advisor is an important decision. Learn what you should look for so you get what you need.
Check Out Your Advisor - The SEC database of brokers and advisors.
Related Terms
ADV Form | Advisor | Investment Advisor | SEC
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