Post by cxgllc on May 10, 2019 23:21:46 GMT 12
A registered investment advisor, or RIA, is a "person or firm that, for compensation, is engaged in the act of providing advice, making recommendations, issuing reports or furnishing analyses on securities, either directly or through publications" according to The Investment Advisers Act of 1940.
Generally speaking, an RIA is a limited liability company, limited partnership, or other business entity that has been registered through the proper channels and been approved by the regulatory body that will oversee it. This is usually either the Securities and Exchange Commission or the states in which the RIA operates.
Financial Services Compliance | RIA Registration Services
Generally speaking, an RIA is a limited liability company, limited partnership, or other business entity that has been registered through the proper channels and been approved by the regulatory body that will oversee it. This is usually either the Securities and Exchange Commission or the states in which the RIA operates.
Financial Services Compliance | RIA Registration Services