A Registered Investment Adviser (RIA) refers to a firm that is registered with the Securities and Exchange Commission (SEC) or a state’s securities agency. An individual advisor who works with an RIA is an Investment Advisor Representative (IAR). Dynamic can provide services to both a stand-alone RIA firm, or an IAR under the Dynamic RIA.

As a stand-alone RIA, you have more flexibility in your business. However, you have many more responsibilities to manage that business in accordance with regulatory requirements, investments and services offered. As an IAR of Dynamic, you still have flexibility in your business such as brand, investment philosophy, etc., however you don’t have to spend time on administration of technology, custodians, human resources, compliance, regulatory oversight and day-to-day operational tasks.

We’ll provide counsel to help you identify whether an RIA or IAR is the best route to help you accomplish your business goals, as well as where you see your time best utilized. Either way, we’ll assist you in establishing the proper set up. For more information, see “IAR Or RIA? Ever-Expanding Options Have Advisors Wondering What’s Best” or watch the Dynamic Resource Call webinar.