RIA Glossary
Page last updated: January 3, 2026
The following are terms commonly used when discussing the Registered Investment Advisor (“RIA”) model:
- 1099
- ACAT
- ADV
- Advisory Agreement
- Aggregator
- Alts
- Asset Based Pricing
- Assets Under Advisement
- Assets Under Management
- AUA
- AUM
- AUM Fees
- Bank Advisor
- Basis Points
- BD
- Bps
- Breakaway
- Broker-Dealer
- BrokerCheck
- Broker Protocol
- CCO
- Center Of Influence
- Certified Financial Planner
- CFP
- Chief Compliance Officer
- COI
- Corporate RIA
- CRM
- Custodian
- Custody Fee
- Customer Relationship Management
- E&O
- Ensemble Practice
- Enterprise Value
- Errors & Omissions
- Fee Based
- Fee Billing
- Fee Only
- Financial Industry Regulatory Authority
- FINRA
- Fintech
- Flat Fees
- Forgivable Loan
- Fractional CIO
- Held-Away Assets
- Hourly Fees
- Hybrid
- IAR
- IAR-Only
- IARD
- IBD
- Independent Broker-Dealer
- Investment Adviser Registration Depository
- Investment Advisor Representative
- Managed IT
- Model Marketplace
- Multi Custodial
- No Transaction Fee
- NTF
- OCCO
- OCIO
- Office of Supervisory Jurisdiction
- OSJ
- Outsourced Chief Compliance Officer
- Outsourced Chief Investment Officer
- Performance Fees
- Platform Fee
- Portfolio Management Software
- Primary Custodian
- Protocol
- Regional Broker-Dealer
- Registered Investment Advisor
- Registered Representative
- Regulatory Exam
- Reoccurring Revenue
- RIA
- RIA-Friendly BD
- Roll-up
- SEC
- SEC Registered
- Securities & Exchange Commission
- Separately Managed Account
- Series 65
- Series 7
- Single Custodial
- SMA
- SMA Manager
- Solicitor’s Agreement
- State Registered
- Super OSJ
- Supported Independence
- TA
- TAMP
- Tech Stack
- Transaction Based Pricing
- Transition Assistance
- Turnkey Asset Management Program
- UMA
- Unified Managed Account
- W2
- Wirehouse
Get started: