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Common Application Formative Stamp. No. Please refer to the general instructions for assistance and complete all sections in English. For legibility, please use BLOCK LETTERS in black or dark ink.
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What is ria code?
RIA code stands for Regulatory Identification Number for Advisers. It is a unique code assigned to registered investment advisers by the Securities and Exchange Commission (SEC) or state securities regulators.
Who is required to file ria code?
Registered investment advisers (RIAs) are required to file for an RIA code with the SEC or state securities regulators.
How to fill out ria code?
RIAs can fill out the RIA code application online through the Investment Adviser Registration Depository (IARD) system.
What is the purpose of ria code?
The purpose of RIA code is to track and identify individual registered investment advisers for regulatory purposes.
What information must be reported on ria code?
RIAs must report information such as firm details, ownership, services offered, fees, and disciplinary history.
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