Registered investment adviser
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Search complete. 66 mentions across 15 episodes found for "Registered investment adviser".
Nov 4, 2026
Mitch MechigianGUEST
Everything we do is venture capital mindset, investor mindset.
Mitch MechigianGUEST
We're an SEC registered RIA in the United States and an FCA appointed rep in the U.K., Our flagship fund is an AI fund of early stage venture funds.
Mitch MechigianGUEST
So basically what we do is LPs invest one check with us.
Mitch MechigianGUEST
We then invest into 10 early stage VCs that are very difficult to access, Factorial, Gradant, AIX, top US VCs that have high minimums and most people can't get into.
Matthew Le MerleGUEST
I can tell you about our strategies.
Matthew Le MerleGUEST
I can't tell you the specifics because we're an SEC registered RIA and we're FCA appointed in Europe and that restricts the types of things I can talk about.
Matthew Le MerleGUEST
I can definitely talk about strategy, Jeffrey, but if you were to ask me for tips or for investment ideas, I'm not allowed to give them on a public webinar.
Jeffrey FeldbergHOST
And no worries there.
Craig IskowitzHOST
According to the company, the investment focuses on integrating AI directly into workflows where registered investment advisors lose the most time, including client reporting.
Craig IskowitzHOST
Growth for RIAs has always been about how much time they can spend on higher value client and investment activities versus being buried in the operational metrics mechanics of wealth management.
Craig IskowitzHOST
This investment is investment backing our belief that closing the gap is among the biggest single levers available to advisors today.
Craig IskowitzHOST
Companies also launched Report Studio, a rebuilt reporting foundation that gives advisors drag and drop control over tables.
15 MINS LATER
Jeremy CarnellGUEST
than that.
Jeremy CarnellGUEST
A lot more custodians.
Jeremy CarnellGUEST
And there's a lot of RIAs that have two or more custodians.
Jeremy CarnellGUEST
And so I'm sure their roadmap doesn't have Schwab as the end-all, be-all.
Chuck FaillaGUEST
Everything that I feel is important is how you treat that client and truly putting their interests first, as opposed to, right, so we all know Reg BI, which tends to be more rules-based.
Chuck FaillaGUEST
And I think that's, in general, the big differentiator between the RIA space and the broker-dealer space, right? I have always felt, and this is probably why I've gravitated as much as I have to the RIA space, that it's more spirit-based, meaning do the right thing.
Chuck FaillaGUEST
in the broker-dealer world, and I came from the broker-dealer world, right? So I'm speaking from firsthand experience, right? It's more like prove that you're doing the right thing by checking these boxes.
Chuck FaillaGUEST
But if you check them properly, and I've seen this firsthand, James, I'm sure you have as well, you can circumvent that and still end up selling some annuity product to a client that has a 10% commission that none of us on this call, I don't think, or listening to this call would think it's in that client's best interest.
James BogartHOST
completely agree with everything you just said.
James BogartHOST
There's a level of subjectivity of what is the right thing.
James BogartHOST
And in a lot of instances, I remember vividly, so we went from a broker dealer to another broker dealer before launching the RIA.
James BogartHOST
And I remember that move from the first broker-dealer to the second broker-dealer, they both had different interpretations in that regards, right? And the one that comes top of mind for me is using money market positions to sweep over client cash.
Matt MorizioGUEST
It's again, pretty standard.
Matt MorizioGUEST
I have my type of investment firms called an RIA, registered investment advisory firm.
Matt MorizioGUEST
That's just the industry term for independent financial advisory firm.
Matt MorizioGUEST
And the client's money is not held under my roof.
Jim RothHOST
They walk alongside advisors in pivotal moments with experience, guidance, a long-term view, and a depth and breadth of industry knowledge that few possess.
Jim RothHOST
connecting advisors with broker dealers, corporate RIAs, and other large organizations in a way that benefits both, as well as end clients.
Jim RothHOST
Their role is crucial to the independent financial advisory space, and the top among them have made matches for advisors with tens of billions in assets over the years that have shaped our industry.
Jim RothHOST
To select the top financial advisor recruiters of the year, WSR received nominations from across the industry.
Jim RothHOST
Before founding Elite Consulting Partners in 2011, he worked as a financial advisor at Smith Barney and Prudential Securities and later held leadership positions at Morgan Stanley.
Jim RothHOST
Elite works with advisors on transitions, M&A, practice management, and business consulting.
Jim RothHOST
LaRosa's work encompasses RIAs, broker-dealers, offices of supervisory jurisdiction, employee affiliations, and succession options, along with due diligence, negotiations, and transition planning.
Jim RothHOST
LaRosa's firm also produces research on advisor recruiting.
Matt GomollHOST
of one of them, right? If you invest in, you know, $20 million, $50 million across 2050 companies, but one of them's 100X return, makes up for all the ones that went to zero right and so that's it is they got to find that kind of needle in a haystack um and to everything you just said there's there's absolutely structural reasons that companies are staying private longer than before there is more money available in this private market ecosystem than there ever was yep We're able, 20, 30 years ago, it would be hard for a firm like ours to invest client dollars in it.
Matt GomollHOST
So the whole RIA channel has opened up.
Matt GomollHOST
And so there's just more dollars available.
Matt GomollHOST
And so these companies are incentivized to stay private rather than going public and dealing with the potential headaches that are there.
Laura AdamsHOST
An RIA must ensure that the investments you buy and sell are consistent with your long-term goals and financial objectives.
Laura AdamsHOST
RIAs are usually fee-only advisors, charging a percentage of assets under management, or AUM.
Laura AdamsHOST
Fee structures vary by company, but they could range from one percent to three percent of the total value of your portfolio, and that percentage should go down the larger your portfolio.
Laura AdamsHOST
For example, if you have a one hundred thousand dollar portfolio, a two percent fee means you pay two thousand dollars yearly for their management and advice.
Laura AdamsHOST
That gives an advisor an incentive to grow your portfolio value.
Laura AdamsHOST
Other advisors may work exclusively with clients to create financial plans, and they may charge a flat fee or even an hourly fee ranging from a few hundred or even a few thousand dollars.
Laura AdamsHOST
RIAs are regulated by the U.S. Securities and Exchange Commission, or SEC, or state securities authorities, depending on the size of the firm.
Laura AdamsHOST
You can check an RIA's background at advisorinfo.sec.gov. And again, I'll have links to all of these in the notes for the show.
Brian GrantHOST
So e- essentially it's just someone who's legally obligated to act in your best interest, to put your needs ahead of their own.
Brian GrantHOST
A doctor, a lawyer, a- an RIA who is a fiduciary, right? It's, to me I just think of it as do unto others as you would have them do unto you.
Brian GrantHOST
You know what I mean? It's just kind of if, if you frame every decision that way, okay, if I was the client, what would I-- what would be best for me in this case? Not, not what's best for them or what maybe works for all of us, but if the only consideration was what's best for this client in this situation and in the context of the whole broader relationship if we're in a financial planning relationship with each other, um, that's what the fiduciary standard is.
Brian GrantHOST
So you can add to that and then maybe, maybe go into how does that, uh, you know, differ from-
Brian GrantHOST
the other standards that are out there.
Jonathan HallHOST
So you used a, an acronym that we use all the time that we probably should define actually, because our industry is really like alphabet soup.
Jonathan HallHOST
There are so many, uh, three, four-letter acronyms, um, RIA.
Jonathan HallHOST
So RIA stands for Registered Investment Advisor, and that is a certain type of financial advisor that is legal- legally required to hold to the fiduciary standard.
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