Registered Investment Advisors (RIA) 

An individual or firm registered with a state securities regulator, FINRA , and/or the Securities and Exchange Commission (SEC) that manage investment portfolios, recommend investments, and provide investment advice for clients.  

Resources relating to Registered Investment Advisors (RIA): 

A Deeper Dive into Securities Exemptions for Private Placements

A securities offering exempt from registration with the SEC is sometimes referred to as a private placement or an unregistered offering.  Under the federal securities laws, a company may not …

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