en.wikipedia.org/wiki/Registered_Investment_Adviser

A Registered Investment Adviser (RIA) is a firm that is an Investment adviser in the United States, registered as such with the Securities and Exchange ...

adviserinfo.sec.gov

For a complete compilation of Investment Adviser Firms currently registered with the SEC and states securities regulators, download the Investment Adviser Data  ...

adviserinfo.sec.gov/Firm/124687

NEUBERGER BERMAN INVESTMENT ADVISERS LLC has information ... IAPD provides information on Investment Adviser firms regulated by the SEC and/or ...

adviserinfo.sec.gov/Firm/121767

JEFFERIES INVESTMENT ADVISERS, LLC has information available on ... IAPD provides information on Investment Adviser firms regulated by the SEC and/or ...

www.finra.org/investors/investment-advisers

You can get background information on both SEC- and state-registered investment advisers by using FINRA BrokerCheck or calling us toll-free (800) 289 -9999.

www.riainabox.com/sec-investment-advisor-registration-requirements

Summary of SEC Registered investment advisor (RIA) registration ... Note: RIA in a Box LLC is not a law firm, investment advisory firm, or a CPA firm. RIA in a ...

www.riainabox.com/blog/does-finra-regulate-registered-investment-adviser-ria-firms

Jun 14, 2014 ... FINRA does not presently regulate registered investment adviser firms as ... Lexington Compliance and RIA in a Box LLC do not provide legal ...

www.investopedia.com/articles/professionals/041013/becoming-registered-investment-advisor.asp

Oct 2, 2018 ... Register with their state or the Securities and Exchange Commission (SEC) as an investment adviser or an investment adviser representative, ...

www.ria-compliance-consultants.com/frequently_asked_questions/faq_investment_advisor_registration

The following are some of the more common questions asked about the investment advisor registration process. It's important to recognize that although there is ...