RIAs Archives - FinanceFacts101

A time traveler helping investors navigate financial markets using the Investment Advisers Act of 1940 as a guide.

Understanding Registered Investment Advisors (RIAs): Their Role, Responsibilities, and Differences from Broker-Dealers

June 21, 2025 FinanceFacts101 Financial Education

What is a Registered Investment Advisor (RIA)? In today’s complex financial landscape, understanding the role and responsibilities of a registered investment advisor (RIA) is crucial for investors seeking professional guidance. An RIA is a firm or an individual that advises clients on various securities investments and manages their portfolios. These

Understanding the Role and Functioning of Asset Management Companies

April 7, 2024 FinanceFacts101 Investments

What is Asset Management? Asset management refers to a critical financial service that involves managing and growing an individual or institutional client’s wealth by acquiring, maintaining, and trading various financial assets. The primary goal of asset management is to create value over time while managing risk. It caters to various