Registered Financial Advisor

A registered financial advisor refers to a financial advisor, who is registered with the Securities and Exchange Commission in the U.S. Alternatively, a registered financial advisor is also known as a registered investment advisor. His function is to effectively manage and promote client investment growth.

Need for a Registered Financial Advisor
The finance industry and the relevant service sectors have undergone a sea change in recent times. Money market operations have become more complex. Sudden and rapid changes in key economic parameters have affected the industry like never before. This has increased the demand for registered and competent financial advisors. People want their money to grow, but at the same time, they want it to be in safe hands. Registered financial advisors or alternatively registered investment advisors help in doing just that, albeit for a fee.

More About Registered Financial Advisor or Registered Investment Advisor (RIA)
The client profile of registered investment advisors ranges from corporate houses to individual entities. RIAs themselves mostly operate as partnership businesses or business corporations. However, individuals also operate as IRAs.

It is to be noted that registration with the Securities and Exchange Commission only implies that the RIA is under the regulatory authority of the commission. It does not tantamount to recommendation of any kind from the commission.

Fee Structure of IRAs
IRAs charge a compensation or fee for their services. The fee is usually calculated as a percentage of the proportion of client asset managed by the investment advisor. Increment of client asset base augments the income accruing to the concerned investment advisor.

Conclusion
Registered investment advisors are much sought after professionals in the modern day financial sector. They are basically money managers. They are adept at economic analysis, financial interpolation, accounting rules, quantitative tools and management basics.

However, since it’s one’s money that one is trusting with, one should always go for a registered financial advisor. One pays the RIAs money to make more money.

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Last Updated on : 1st August 2013

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