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What is an Independent Registered Investment Advisor (RIA)?
- An RIA is in the business of giving advice.
- An independent RIA is not owned by another company or institution.
- An RIA has a Fiduciary Responsibility to their clients. They are legally required to put the client’s interest first. This is a higher standard that what is required of brokerage firms, which is the suitability of an investment for an individual client.
- An RIA is typically compensated by fees for advice, rather than commissions on buying & selling.
- An RIA is regulated by the Securities and Exchange Commission (SEC) or the state in which they operate.
Blog
Living on a fixed income can be difficult. Do you know how taxes will affect your financial health in retirement?
While you might have been planning your retirement for many years, there may come a time when you need to retire earlier than expected.
As a single woman, you may be faced with some unique challenges when planning for retirement. Here's what you should consider.
