A registered investment adviser (RIA) is a firm that is an investment adviser in the United States, registered as such with the Securities and Exchange Commission (SEC) or a state's securities agency. The numerous references to RIAs within the Investment Advisers Act of 1940 popularized the term, which is closely associated with the term investment adviser. An investment adviser is defined by the Securities and Exchange Commission as an individual or a firm that is in the business of giving advice about securities. However, an RIA is the actual firm, while the employees of the firm are called Investment Adviser Representatives (IARs).
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| - 전문투자자문사 (ko)
- Registered investment adviser (en)
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| - 전문투자자문사(Registered investment adviser, RIA)는 미국에 있는 를 전문으로 하는 회사를 일컫는다. 미국 증권 거래 위원회와 함께 등록이 되어 있다. 이 회사는 재정적 자문과 투자 관리 서비스를 제공함으로 수수료를 받는다. 2021년 현재 가장 큰 전문투자자문사는 에델만 파이낸셜 엔진으로 344명의 자문단과 백삽십만명의 고객을 갖고 있다. (ko)
- A registered investment adviser (RIA) is a firm that is an investment adviser in the United States, registered as such with the Securities and Exchange Commission (SEC) or a state's securities agency. The numerous references to RIAs within the Investment Advisers Act of 1940 popularized the term, which is closely associated with the term investment adviser. An investment adviser is defined by the Securities and Exchange Commission as an individual or a firm that is in the business of giving advice about securities. However, an RIA is the actual firm, while the employees of the firm are called Investment Adviser Representatives (IARs). (en)
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| - A registered investment adviser (RIA) is a firm that is an investment adviser in the United States, registered as such with the Securities and Exchange Commission (SEC) or a state's securities agency. The numerous references to RIAs within the Investment Advisers Act of 1940 popularized the term, which is closely associated with the term investment adviser. An investment adviser is defined by the Securities and Exchange Commission as an individual or a firm that is in the business of giving advice about securities. However, an RIA is the actual firm, while the employees of the firm are called Investment Adviser Representatives (IARs). Registered investment adviser firms receive compensation in the form of fees for providing financial advice and investment management. They are required to act as a fiduciary. This is very different from broker-dealers and their representatives, who provide recommendations for a commission. Broker-dealers and their representatives are not required to act as a fiduciary, they simply must make suitable recommendations for a client. This is a different standard of care, but most consumers are unaware of the difference, as any of these professionals may call themselves a financial advisor. In some instances a firm may be "dual registered", meaning they are a registered investment adviser along with being registered as a broker-dealer. In that case they may provide advice for a fee and collect a commission on certain product sales. (en)
- 전문투자자문사(Registered investment adviser, RIA)는 미국에 있는 를 전문으로 하는 회사를 일컫는다. 미국 증권 거래 위원회와 함께 등록이 되어 있다. 이 회사는 재정적 자문과 투자 관리 서비스를 제공함으로 수수료를 받는다. 2021년 현재 가장 큰 전문투자자문사는 에델만 파이낸셜 엔진으로 344명의 자문단과 백삽십만명의 고객을 갖고 있다. (ko)
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