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So you're an RIA. Be careful about calling yourself one, says the SEC

Beware of using the term as focal point for marketing; some states may have competing regulations

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Les Abromovitz: The SEC’s observation was surprising.

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Top Executive: Mark Alcaide, COO/Partner




Cathy Vasilev

Cathy Vasilev

October 12, 2010 — 3:05 AM

You also have to be very careful if you offer investment advisory services through an RIA that is not your firm. You can not say your firm “ABC Advisors” offers advisory services. The SEC and the states are particularly cognizant of this scenario. Quite often the advisor wants to say his firm offers these, but it’s considered false and misleading.

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