Investor Glossary-riaInvestor Glossary-riaInvestor Glossary-riaInvestor Glossary-riaInsightful stock market charts - Click here
investor
Categories    # A B C D E F G H I J K L M N O P Q R S T U V W X Y Z

RIA

The HTML to link to this page
 

An RIA is a Registered Investment Advisor. The term refers to a firm in the business of managing investments or giving investment advice. Individuals who act on behalf of an RIA are known as Investment Advisor Representatives (IARs).

A small RIA, with less than $25 million under management is generally regulated by the state in which it is based. An RIA with $25 million or more under management falls under the regulatory purview of the Securities and Exchange Commision (SEC). Firms who wish to become registered as an RIA must submit a form ADV with the SEC. This form must also be updated on a regular basis for any RIA wishing to continue operations. The form ADV lists important information regarding an RIA to include assets under management, types of accounts, disclosure of relationships with broker/dealer firms, any history of regulatory discipline, as well as methods of compensation.

Before an investor begins dealing with an RIA firm it would be a good idea to gather as much information possible about the firm and its staff. The form ADV for any RIA can be accessed by visiting the SEC's website.



Rate this RIA definition...

Learn about investing with the Investor Glossary Term of the Day


Click here for insightful stock market charts. Where is the market headed? The answer may surprise you. Find out
with the exclusive & Barron's recommended charts of Chart of the Day.


Popular Terms: liquidity ratio, annual return, wholly-owned subsidiary, debt service coverage, margin rate, 1031 exchange, covered put, inflation, EBITDA, irrevocable trust, deferred tax, open position, 1035 exchange, ex-dividend date, stock split, labor relations, cancelled check, required rate of return, stock market close, limit order, real GDP, APR, in escrow, quality assurance, FTSE, LIBOR, per diem, FICO score, current ratio, Zero Cost Collar, average price per share, class C shares, deferred revenue, VIX, retained earnings, implied volatility, ex-dividend, dividends payable, option premium, balance sheet, command economy, minority interest, Key Rate Duration, diluted share, phantom income, risk management, 144a, reverse mortgage, 401a


Accounting | Banking | Bonds | Brokers | Economy | Futures | Mutual Funds | Options | Real Estate | Retirement | Stocks | Taxes | Technical Analysis
Investor Glossary | Term of the Day | Suggest a Term | Chart of the Day | Dogs of the Dow
©2004-2016 Investor Glossary - All rights reserved - Terms of Use