Question

What is a Registered Investment Advisor (RIA)?

Answer

A Registered Investment Advisor (RIA) is a firm that provides investment advice and is registered with the Securities and Exchange Commission or state regulators. RIAs typically operate under a fiduciary duty, which requires advice to prioritize client interests. Clients can review regulatory disclosures to understand services, fees, and potential conflicts.

Last Updated Aug. 5, 2026

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We exist so you don’t have to worry about money. For more than 40 years, we’ve taken the sophisticated, time-tested approach that many ultra-high net worth individuals use to help manage their financial lives and made it accessible to more families.

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