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Registered Investment Advisor

How to become and prosper as a fee-based RIA

Is it time to leave the FINRA broker dealer or wirehouse for freedom to run your own shop? This site has everything you need to know on these various issues:

  • What licenses you need
  • How to get registered
  • Where do you custodian your portfolios
  • What software you need
  • How should you manage client portfolios
  • How do you manage your business
  • What compliance issues do you face

    This is your source of everything fee-based and RIA to be successful as quickly as possible.

 

Understand the Difference
Stockbroker vs Registered Investment Advisor

Any type of advisor accepting commission for securities business must be licensed through a broker-dealer with the FINRA. However, there is a completely separate way to be in the securities business. It has nothing to do with the FINRA, and you do not need a broker dealer.

A Registered Investment Advisor is licensed through their state or the SEC to provide investment advice for a fee. That includes:

  • Collecting a fee for giving hourly advice (like a CPA or attorney)
  • Collecting fees for managing portfolios (e.g. 1% annually of the portfolio value)
  • Collecting fees for a financial plan that includes investment advice (Note--if the plan does not include investment advice, you don't need to be a registered investment advisor. However, your state may require a special license to give fee-based insurance or estate planning advice)

What are the trade-offs?

 

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