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A Registered Investment Advisor (RIA) is an advisor or firm engaged in the investment advisory business and registered either with the Securities and Exchange Commission (SEC) or state securities authorities. RIAs have a fiduciary duty to their clients, which means they have a fundamental obligation to provide suitable investment advice and always act in their clients' best interests.

Who should use this product line?

Financial and insurance wholesalers that would like to identify firms to help grow their business.

RIAs that would like to learn more about their competitors.

RIA reps that would like to learn more about potential new employers.



Key Information

Geography, assets under management (AUM), number of clients, number of accounts, average account balance, services offered, compensation arrangement, client type, state regulatory approval, insurance focused firm (i.e., RIAs with employees that have an insurance license), and other business activities.

Contact Information

Includes address, phone, email and website.

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