Anyone have RIA?

Discussion in 'Professional Trading' started by viruscore1, Oct 3, 2017.

  1. I'm not doing any marketing. My clients are appearing from friends and family. I start out coaching them and they end up handing over their account and say "you trade it", then they come to the conclusion to pay me 10% of profits.
     
    #11     Oct 3, 2017
  2. Robert Morse

    Robert Morse Sponsor

    15 is much more than most states.
     
    #12     Oct 3, 2017
  3. How difficult is the RIA, can't be that bad considering some of the results i've come across. So far none of my 3 clients reside in Florida.
     
    Last edited: Oct 3, 2017
    #13     Oct 3, 2017
  4. drm7

    drm7

    It's not "easy," but it's getting "easier." Interactive Brokers has a pretty good platform for small RIAs. I would read every single link on this page (several times) to understand what's involved.

    https://www.interactivebrokers.com/adv/en/main.php


    [No affiliation with IB]
     
    #14     Oct 3, 2017
    MoreLeverage and viruscore1 like this.
  5. toc

    toc


    Does this men you can have upto 15 clients in Florida, 5 in NY, 2 in TX etc. etc. and still NOT be required to register as an RIA in any state. This ofcourse assuming you stay under the radar of "minimum" allowed clients in other states. I am just assuming that 5 is min. NY and 2 in TX etc. for the sake of an example.


    If AUM is more than $25M then one has to ofcourse register with SEC.
     
    #15     Oct 3, 2017
  6. Robert Morse

    Robert Morse Sponsor

    I missed that. Where is that requirement?
     
    #16     Oct 3, 2017
  7. WeToddDid2

    WeToddDid2

    I don't know about Florida, however, in California, it varies depending upon if the investors are nonacredited, accredited or qualified investors.
     
    #17     Oct 3, 2017
  8. What is accredited ? I’m just clearing house IT architect
     
    #18     Oct 3, 2017
  9. toc

    toc

    #19     Oct 3, 2017
  10. Robert Morse

    Robert Morse Sponsor

    "Generally only larger advisers that have $25 million or more of assets under management or that provide advice to investment company clients are permitted to register with the Commission. " That sounds to me like you have the option to register with the SEC vs your state rather than a requirement. I can't claim to be an expert on this.
     
    #20     Oct 3, 2017