• Call Us Now
    (941) 739-5006

  • Send Mail Us
    financial@assurity.us

What is a Registered Investment Advisor?

A Registered Investment Adviser (RIA) is an investment adviser registered with the United States Securities and Exchange Commission (the SEC) and The Florida Office of Financial Regulation. An Investment Adviser is defined by the Securities and Exchange Commission as an individual or a firm that receives compensation for giving advice on investing in securities such as stocks, bonds, mutual funds, or exchange traded funds. It is also common for investment advisers to manage portfolios of securities.

The "Suitability" standard requires that a Registered Investment Adviser shall make reasonable efforts to obtain information concerning a client's:

  1. Financial status
  2. Tax status
  3. Investment objectives
  4. Risk tolerance
  5. Other information used or considered to be reasonable

A Registered Investment Advisor (RIA) must adhere to a fiduciary standard of care laid out in the US Investment Advisers Act of 1940. This standard requires Investment Advisers to act and serve a client's best interests with the intent to eliminate, or at least to expose, all potential conflicts of interest which might incline an investment adviser—consciously or unconsciously—to render advice which was not in the best interest of the IA's clients. A typical RIA evaluates client’s needs and risk tolerance, advises on appropriate investments, monitors client portfolio’s, and provides performance reports and updates.

Assurity Financial Group is a Registered Investment Advisor (RIA) that provides other wealth management services, such as retirement, trust, charitable giving, estate and financial planning services. One of the significant advantages of engaging Assurity Financial Group over other RIA’s is our expertise in taxation. Few Registered Investment Advisers are credentialed with the IRS or U.S. Treasury Department like Assurity Financial Group is; due likely to the fact that tax expertise is not a requirement of being a RIA. While other RIA’s advise seeking professional tax advice regarding any investment decision, Assurity Financial Group has the credentials and expertise to render the type of professional tax advice other Investment Advisers can only ‘refer to’.

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  • 2429 Manatee Ave E, Unit 1 Bradenton,
    FL 34208
  • Call Us Now

    (941) 739-5006

  • Send Mail Us

    financial@assurity.us

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