slide 1: H o w T o C h o o s e T h e B e s t R e g i s t e r e d I n v e s t m e n t A d v i s o r
slide 2: Significance of RIA
Who is Registered Investment
Advisor
Factor 1 - Qualification
Factor 2 - Compensation
Factor 3 - Testimonials
Factor 4 - Consultation
Take Away
C o n t e n t
slide 3: S I G N I F I C A N C E O F R I A The significance of having a Registered
Investment Advisor aside for financial
planning and investment management is
unmatchable.
You would have heard stories of many rich
people going bankrupt nowadays that’s
because they made the mistake of not hiring
an Independent Registered Investment
Advisor to assist.
slide 4: A Registered Investment Advisor RIA is a licensed firm or can be
a person who offers financial advice on the investment process
and securities. They act as a fiduciary that respects and keep the
client’s interest in the first place.
Who is Registered Investment Advisor
slide 5: That’s why it is better to hire a good
Registered Investment Advisor to plan your
investment than seeking the help of your
family and friends.
Here are some factors that you should
check before choosing the best Registered
Investment Advisor for your financial
planning and advice services.
slide 6: Qualifications
Look for the legal qualifications of your selected RIA firm or
person to know about their work and services. And also an RIA
should be registered with the Securities and Exchange
Commission SEC or to the state securities agency. A registered
investment advisor would have the right qualification and proper
registration papers which would lead them to give the best
investment advice to the client.
F a c t o r 1
slide 7: Compensation
An RIA takes fee in the form of hourly based commission based and
percentage based in some cases. But it is always good to hire an
RIA who offers their services in commission based fee. Because
you will pay them only a percentage of the profit from the
successful investment plan that they have recommended to you. In
this way you will be assured that they are offering the best advice
and also working for you rather than making money for them.
F a c t o r 2
slide 8: Testimonials
This is another good way to check the RIA service is to through the
testimonials recommendations and comments of their previous
clients in the website and local directories. And even you can check
the local complaint registry website to check any complaint on that
firm. A good RIA will have a good reputation.
F a c t o r 3
slide 9: Consultation
This is another good way to check the RIA service is to through the
testimonials recommendations and comments of their previous
clients in the website and local directories. And even you can check
the local complaint registry website to check any complaint on that
firm. A good RIA will have a good reputation.
F a c t o r 4
slide 10: Most of the people don’t think they need professional
help as they have little money or know a trusted
person who knows about investment. But it is not how
it works investing money in the right process needs
knowledge and experience which we don’t think
anybody will have rather than professional like
Registered Investment Advisor.
T a k e A w a y And thats why this presentation gives you
the factors to choose a best Registered
Investment Advisor for you in simple and
effective ways.