A registered investment advisor (RIA) is an individual or investment firm in the United States that advises clients on their investment decisions and portfolio composition. To demonstrate their qualifications and expertise, RIAs must be registered on a state level as well as with the Securities and Exchange Commission (SEC). More importantly, RIAs are legally required to provide their clients with investment advice that is in their best interests. RIAs typically generate revenue through a predetermined agreement based on a percentage of the client’s assets under management (AUM) each year.
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