RIA

  • Registered Investment Advisor

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    Being independent is the only way to provide truly objective and trusted advice while working with a fiduciary focus. Many financial professionals in the industry cannot provide independent and objective advice -just based on their employer relationship and how they charge for their services. 

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    What Is a Registered Investment Advisor (RIA)?

    A Registered Investment Advisor (RIA) is a person or firm who advises high-net-worth individuals on investments and manages their portfolios. RIAs have a fiduciary duty to their clients, which means they have a fundamental obligation to provide investment advice that always acts in their clients’ best interests. (investopedia)

    As the first word of their title indicates, RIAs are required to register either with the Securities and Exchange Commission (SEC) or state securities administrators.

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    Why utilize an independent financial advisor firm

    Independent Registered Investment Advisor (RIA) firms provide personalized financial advice to their clients, many of whom have complex financial needs. Because advisors at these firms are independent, they are not tied to any particular family of funds or investment products. As fiduciaries, they are held to the highest standard of care – and are required to act in the best interests of their clients at all times. They are registered with either the Securities and Exchange Commission or state securities regulators.

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    Key benefits 

    Many independent advisory firms are owned by the individual advisors who run them, so they forge personal relationships with their clients.  The following five areas can help add trust, confidence and value when working with an independent advisor and firm:

    -Customized guidance based on your entire financial picture.
    -A relationship that’s responsive, attentive, and personal.
    -A fee structure that is simple and transparent.
    -A high level of expertise to support your complex financial needs.
    -Your money is held by an independent custodian, not the advisor firm.

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    Wealth Management       Retirement Planning      Our Team      Weekly Newsletter      

    As a fiduciary, Ulin & Co. brings an independent approach to wealth management that helps minimize conflicts of interest. We partner with Charles Schwab, Fidelity and Pershing for asset custody and management.

    Our advisors have been servicing clients in South Florida and beyond for two decades and can help get your “financial house” in order. Call (561) 210-7887 to schedule a no-obligation consultation with Jon Ulin, CFP®, CEO. Learn how we can help you Plan Your Best Life®.

    Your financial check-up will include:

    Portfolio Risk Analysis
    Retirement Income Review
    Discussion of roadblocks that could prevent you from maintaining the retirement you earned.
    Opportunity to evaluate the value of our services and make an informed decision about hiring our firm.

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