The Importance of Working with a Registered Investment Advisor

Whether you have a small business or a large enterprise, it can be challenging to create a business strategy and oversee your investment. As your enterprise grows, it becomes diverse and complex. For these reasons, many investors opt to seek advice from a third party. Financial advisors will assist you in planning your finances and investments. If you are looking to hire an advisor, consider a third party that will prioritize your interests: a Registered Investment Advisor (RIA). While most people believe that RIA is an individual, it is a business classification. An RIA firm houses investment advisors such as Certified Financial Planner, and Personal Financial Specialist. Here are the benefits of working with a Registered Investment Advisor.

File Form ADV

Form ADV is filed with the U.S Securities and Exchange Commission (SEC). The form provides a detailed view of how your investment advisor runs its business. Form ADV contains the ownership details, clients, workers, and any legal action against the firm or its employees. The form will also include other information such as fee schedule, conflict of interest, and educational background of any person within the firm.

Duty to Serve

The SEC demands that the RIA has a fiduciary duty to work in the best interest of its clients. A Registered Investment Advisor must act in good faith and make working suggestions depending on the needs of the client. The recommendations should not be based on the amount of money payable by the customer. An RIA should allow the client to have direct communication with the investment advisor.


RIAS are free to provide independent advice to their customers since they are not tied to any company or product. The firm offers unbiased guidance and drives your investment portfolio towards your needs. Most RIAS add the value of their experience by working with third-party custodians such as large banks. These custodians provide additional customer service and account management benefits.

Supply Fee-based Services

Unlike other brokerage services, RIAS are free-based. The firms offer investment advice depending on a set percentage of their customer’s total assets. The RIAS do not make money through the sale or purchase of your securities. Instead, increasing the value of your company is the only way they can make money.


In most cases, Investment Advisors have official relationships of Certified Public Accounts (CPA), insurance agents, and estate planners who can protect your wealth. Such professionals can work together with your RIA to develop a business strategy that considers all your interests.

Managing a company can be straightforward for some people but overwhelming for others since we all have different abilities. If you feel overworked, look for a professional such as this registered investment advisor. Visit their website and give them a call if you have any question. As an RIA, they are committed to providing you with financial planning services that will enable you to make the most out of your investment. Make sure you read the customer reviews to see what other customers feel about the RIA.

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