Discover what an RIA can do for you.

 

 
 

Thinking About Hiring An RIA?

 

If you're someone with a sizeable sum of money to invest, finding an advisor to help with that is easy. Finding one who is legally bound to act in your best interest can be easy, too if you make sure you work with a Registered Investment Advisor, or RIA.

RIAs are investment advisory firms that register with and agree to be regulated by the U.S. Securities & Exchange Commission. As fiduciaries under the Investment Advisors Act of 1940, they operate under a different and higher standard of responsibility to their clients than any other type of financial advisor. They are legally obligated to act in their clients' best interest, even if that turns counter to the firm's own interests.

For example, if two investment products offer the exact same return opportunities and risk profile, but at a different cost, an RIA would be obliged to recommend the lower cost option. While other advisors may choose to adhere to similar standards RIAs remain the only advisors with the legal responsibility to do so. Those that fail to put their clients' interests before their own invite penalties from the SEC, or, in the case of smaller firms, state securities regulators. READ MORE »

The Verona Difference

 

Know that you have an investment advisor working in your best interest, not theirs. Discover the difference of an RIA, discover the difference of Verona Capital Management.

Established in 1999, Verona Capital Management is dedicated to our clients, and we are here to assist you when you need it most.

Drop us an email today
veronacapital@hotmail.com

 

10 things every investor should know about RIAs

 

1. You often can't tell who's an RIA just by looking at their name. Since many RIAs don't use the term "Registered Investment Advisor" in their name, you may simply have to ask. Alternatively, you could ask to see their Form ADV, a report every RIA is required to file annually with both the SEC and state securities authorities in the state or states where they operate. READ MORE »