RIA Information

billpritjr · Jan 7, 2004

Can anyone point me to a reputable website that has information regarding Registered Investment Advisor certification?

I am NOT looking for stockbroker, etc stuff. Simply RIA certification and information.

A yahoo search turns up all sorts of sites, but looking for recommendations.

Thanks

AmbushHillbilly · Jan 7, 2004

If you'll be advising on more than $25M now or in the near future than you must be registered with the SEC. Otherwise, most states have their own laws regarding RIA's.

Check your state goverment's web site. Look for something along the lines of "State Securities Board" or do a search on RIA, broker, or registered representative within their site.

Also, the following two web sites will likely contribute to the process.

http://www.nasd.com/

http://www.iard.com/

formikatrading · Jan 7, 2004

Prior post is correct -- if you manage under $25 million, you're generally filing at the state level. Also, keep in mind that most states have certain exemptions from registration if you have 5 or fewer clients in that state (subject to other qualifications, etc.)

Here are some helpful links:

http://www.nasaa.org/nasaa/invadvisor/invest_adviser_overview.asp?nav_id=9

http://www.nasaa.org/nasaa/abtnasaa/memberweb.asp

RIA Information

billpritjr

AmbushHillbilly

formikatrading