At RIA Systems, we often find that people are looking for clarity on the different types of financial professionals. One of the most important designations to understand is the Registered Investment Advisor, or RIA. An RIA is a firm or individual who is registered with either the Securities and Exchange Commission (SEC) or state securities administrators and provides investment advice for a fee. Understanding their role is the first step toward making a more informed decision about your financial partner.

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As a leading provider of investment advisor technology, we at RIA Systems understand the critical role that a Registered Investment Advisor (RIA) plays in the financial success of their clients. An RIA has a fiduciary duty to act in the best interests of their clients, a responsibility that we take very seriously. Here are four key responsibilities of a Registered Investment Advisor.

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