4 Things to Look For in a Registered Investment Advisor

What Is an RIA?

  • They are fiduciaries. Those who have been distinguished as a fiduciary have the moral obligation to act in the best financial interest of those who they are representing. They cannot offer products for commission that may only benefit them. Some financial advisors work on a commission based on products sold, that don’t necessarily benefit the client.
  • They are registered with the SEC. The Securities and Exchange Commission (SEC) and other state regulators are there to ensure that RIAs are holding up their fiduciary promise.
  • RIAs are not just for investments. While RIAs are experts in investment advice, they can offer financial planning services that include retirement planning, estate planning, insurance, college saving plans, and more.

What should I look for in a good Registered Investment Advisor?

Their fee structure

What your relationship will look like

Their asset allocation philosophy

What they specialize in and how many clients they are currently working with

RIAs may help to secure you a better financial future



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Senior Finance Advisor

Senior Finance Advisor

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