… Also available as podcast (Episode #10) Apple | Android | Spotify | Amazon Will I officially own my own book with my own RIA? Unlike while working for one of the traditional “captive” broker/dealer firms, as your own Registered Investment...
… Also available as podcast (Episode #9) Apple | Android | Spotify | Amazon What is the minimum AUM I must have to start an RIA? There is technically no minimum Assets Under Management (“AUM”) level required to logistically start a Registered...
… Also available as podcast (Episode #8) Apple | Android | Spotify | Amazon How often will my RIA receive a regulatory exam? There are a number of risk variables involved that drive the frequency in which your Registered Investment Advisor...
… Also available as podcast (Episode #7) Apple | Android | Spotify | Amazon Do I have to get Outside Business Activities approved as an RIA? While being affiliated with a broker/dealer you are generally required to get the B/D’s permission before...
… Also available as podcast (Episode #6) Apple | Android | Spotify | Amazon Can I have discretionary accounts as an RIA? Unlike while being affiliated with a broker/dealer in which you generally must seek permission from the B/D to use discretion with your...
… Also available as podcast (Episode #5) Apple | Android | Spotify | Amazon How long does it take to register an RIA? The Registered Investment Advisor (“RIA”) registration process generally takes between 45-90 days from the time you initially...
