How to Register as an RIA: State Registration vs. SEC Registration
In our previous blog on Registered Investment Advisers (RIAs), βHow to Register as an RIA: What is a Registered Investment Adviser?β, we discussed some important basics of RIAs β how does one define an RIA, what is Fiduciary Duty, why do RIAs need to register, what is the difference between state registration and SEC registration, etc. Today, we will return to the topic of state registration vs. SEC registration in order to provide a more thorough examination of the issue.