{"id":180110,"date":"2021-06-14T13:56:00","date_gmt":"2021-06-14T17:56:00","guid":{"rendered":"https:\/\/ibkrcampus.com\/glossary-terms\/registered-investment-advisor-ria\/"},"modified":"2023-01-22T13:34:39","modified_gmt":"2023-01-22T18:34:39","slug":"registered-investment-advisor-ria","status":"publish","type":"glossary-terms","link":"https:\/\/www.interactivebrokers.com\/campus\/glossary-terms\/registered-investment-advisor-ria\/","title":{"rendered":"Registered Investment Advisor (RIA)"},"content":{"rendered":"

A Registered Investment Advisor (RIA) is an advisor or firm engaged in the investment advisory business that is registered either with the Securities and Exchange Commission (SEC) or with state securities authorities. A Registered Investment Advisor is defined by The Investment Advisers Act of 1940 as a “person or firm that, for compensation, is engaged in the act of providing advice, making recommendations, issuing reports or furnishing analyses on securities, either directly or through publications.” An RIA has a fiduciary duty to his or her clients, which means that he or she has an obligation to provide suitable investment advice and always act in the clients’ best interests. Typically only larger advisors that have at least $100 million in assets under management or that provide advice to investment company clients are permitted to register with the SEC. Smaller advisors (subject to limited exceptions) are required to register with state securities authorities.<\/p>\n","protected":false},"excerpt":{"rendered":"

A Registered Investment Advisor (RIA) is an advisor or firm engaged in the investment advisory business that is registered either with the Securities and Exchange Commission (SEC) or with state securities authorities. A Registered Investment Advisor is defined by The Investment Advisers Act of 1940 as a “person or firm that, for compensation, is engaged in the act of providing advice, making recommendations, issuing reports or furnishing analyses on securities, either directly or through publications.” An RIA has a fiduciary duty to his or her clients, which means that he or she has an obligation to provide suitable investment advice and always act in the clients’ best interests. Typically only larger advisors that have at least $100 million in assets under management or that provide advice to investment company clients are permitted to register with the SEC. Smaller advisors (subject to limited exceptions) are required to register with state securities authorities.<\/p>\n","protected":false},"featured_media":0,"parent":0,"template":"","meta":{"_acf_changed":false,"footnotes":""},"traders-glossary":[13268,13251],"class_list":{"0":"post-180110","1":"glossary-terms","2":"type-glossary-terms","3":"status-publish","5":"traders-glossary-trading-terms-r","6":"traders-glossary-trading-alphabet"},"pp_statuses_selecting_workflow":false,"pp_workflow_action":"current","pp_status_selection":"publish","acf":[],"yoast_head":"\nArchives Term | IBKR Glossary | IBKR Campus<\/title>\n<meta name=\"description\" content=\"A Registered Investment Advisor (RIA) is an advisor or firm engaged in the investment advisory business that is registered either with the Securities...\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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