Registered Investment Advisor

Registered Investment Advisor

by Richard C. Wilson & Family Offices Group Association Team

Family Office Definition: Registered Investment Advisor

Registered Investment Advisor definition:  A Registered Investment Advisor (RIA) is regulated by the Investment Advisors Act of 1940. A Series 65 or 66 license (administered by Financial Industry Regulatory Authority – FINRA) is required of registered investment advisors. RIAs typically are fee-based financial advisors and offer discretionary accounts to clients.

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