# Registered investment adviser (RIA)

> A registered investment adviser (RIA) is a firm registered with the SEC or a state securities regulator to give investment advice for compensation.

Canonical page: https://find.wellspent.co/glossary/ria/
Also called: RIA firm, investment adviser

Advisers with $100 million or more in regulatory assets under management generally register with the SEC; smaller advisers generally register with their state. Either way, RIAs file Form ADV and owe their clients a fiduciary duty.

The individuals who give advice on behalf of an RIA are investment adviser representatives (IARs).

## How to check

Search the firm name on the SEC's Investment Adviser Public Disclosure site.

## Sources

- [SEC: Investment advisers](https://www.investor.gov/introduction-investing/investing-basics/glossary/investment-adviser)
- [SEC Investment Adviser Public Disclosure](https://adviserinfo.sec.gov/)

## Related terms

- [Investment adviser representative (IAR)](https://find.wellspent.co/glossary/iar.md)
- [Form ADV](https://find.wellspent.co/glossary/form-adv.md)
- [Fiduciary](https://find.wellspent.co/glossary/fiduciary.md)
- [CRD number](https://find.wellspent.co/glossary/crd.md)