RIA
Business & Finance abbreviation · Stock Market & Investing
| Stands for | Registered investment adviser |
|---|---|
| Categories | Business & Finance |
RIA stands for Registered investment adviser, a stock market & investing abbreviation.
Firm registered with the SEC or a state securities regulator that gives investment advice for a fee and owes clients a fiduciary duty to act in their best interest. Larger advisers, generally those managing $100 million or more, register with the SEC.
Example: Unlike her old broker, her new RIA charges a flat 0.8 percent fee and earns no commissions.
Usage notes
RIAs are regulated under the Investment Advisers Act of 1940 and must file Form ADV, which discloses fees, conflicts and disciplinary history. Individuals who work for an RIA are investment adviser representatives (IARs). Brokers recommending securities follow Regulation Best Interest, a different standard from the adviser's fiduciary duty.
Related abbreviations
More stock market & investing abbreviations
- P/E – Price-to-earnings ratio
- P/S – Price-to-sales ratio
- PDT – Pattern day trader
- PEG – Price/earnings-to-growth ratio
- PFOF – Payment for order flow
- PT – Price target
- RSI – Relative strength index
- S&P 500 – Standard & Poor's 500
- S-1 – Form S-1 (registration statement)
- SEDOL – Stock Exchange Daily Official List
- SEO – Seasoned equity offering
- SGX – Singapore Exchange