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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
One of the best ways to prepare for the cost of college is to start saving early. Here are some pros and cons of a 529 savings plan to consider.
No matter how you invest, you may have biases that are impacting your decisions. Are you affected by one of these common biases?
Nearing retirement age and looking to reduce your expenses? Moving to a smaller home may help you save.
