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Click Here to StartRegistered Investment Advisor (RIA) Firm/Bank/Insurance Company Designation and Recurring Fee Request For use by Firms servicing John Hancock Retirement Plan Services Signature

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What is registered investment advisor ria?

A registered investment advisor (RIA) is a firm that advises clients on their financial investments and is registered with the Securities and Exchange Commission (SEC) or state securities authorities.

Who is required to file registered investment advisor ria?

All firms that meet the definition of an investment advisor and have assets under management above certain thresholds must register with the SEC or state securities authorities as an RIA.

How to fill out registered investment advisor ria?

To fill out the registration form for an RIA, the firm must provide detailed information about their business, including ownership, services offered, fee structure, employees, and any disciplinary history.

What is the purpose of registered investment advisor ria?

The purpose of registering as an RIA is to provide transparency and accountability to clients, as well as to ensure that firms meet certain regulatory standards to protect investors.

What information must be reported on registered investment advisor ria?

Information that must be reported on the RIA registration form includes details about the firm's business practices, conflicts of interest, disciplinary history, and other relevant information.

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