2151 E. Baseline Rd. Ste. 101, Tempe, AZ 85283
A Registered Investment Advisor (RIA) is a fiduciary who has a duty of undivided loyalty to its clients and must deal fairly and honestly with them. Any person or entity that holds itself out as a financial planner must be registered. A Registered Investment Advisor is a representative of the client. This registration doesn’t mean that the person is recommended by the SEC, it simply means that they are regulated by the SEC.
In general, an RIA with more than $25 million under management must register with the SEC. RIAs managing less than $25 million are registered at the state level.
"The pessimist complains about the wind; the optimist expects it to change; the realist adjusts the sails.” -William Arthur Ward
Click on the video below for a lighthearted view from some of our children's
thoughts and views on finances and the financial world.
