- Euripides. It is a beautiful trait in the lover's character, that they think no evil of the object loved. - Henry Wadsworth Longfellow. Each character represented a trait that resides in me. - Chuck Jones. No trait is more justified than revenge in the right time and place.
RIAs and Broker-Dealers can be different in many ways, but the main point revolves around compensation. Broker-Dealers are typically compensated by charging a commission on the sale of an investment product, whereas RIAs are typically compensated by charging a fee for advice â two very different structures.
DEFINITION of 'Registered Investment Advisor-RIA'. An advisor or firm engaged in the investment advisory business and registered either with the Securities and Exchange Commission (SEC) or state securities authorities.egistration of an investment advisor is not meant to denote any form of recommendation or endorsement by the SEC or state securities regulators.