Registered Investment Advisor (RIA) Compliance

Registered Investment Advisors cannot work with clients unless they are registered with the Securities and Exchange Commission (SEC) or state securities regulatory agencies. RIAs are subject to compliance rules designed to ensure they are operating within the confines of the law, as well ethically. Failing to understand and comply with RIA compliance requirements can be costly.

At Gilbert Reese, our RIA compliance team members are versed in the Investment Advisors Act of 1940 which governs the activities of investment advisors in the United States. As part of our compliance requirements review, our team help you to understand the difference between federal regulation and state regulation governing your activities as an advisor.

For example, depending on your total Assets Under Management (AUM), you may register with the SEC or your state regulatory agency.