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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
As your parents age, they may become less capable of managing their own finances. Here are some ways to approach the subject.
If you have any doubts about meeting the tax deadline, you may want to consider filing for an extension.
Tax scams are likely to increase over the next few months. Here’s how to spot one.
