By Andrew Shilling. Many RIA firms have only two or three clients that are so large they occupy all the resources of the firm. The U. Advisors managing smaller amounts typically register with state securities authorities. Financial Advisor Careers. Financial Advisor. Tax strategy scan. Investopedia Financial Advisor. Investment Management Investment management refers to the handling of financial assets and other investments by professionals for clients, usually by devising strategies and executing trades within a portfolio. Wealth Management Industry. Race to zero? For advisors who register with the SEC, the required information includes the advisor's investment styleassets under management AUMfees, any disciplinary actions, and, for a firm, the key officers. Even if Morgan Stanley were to retain ria do trading custody unit, it ria do trading have trouble attracting registered investment advisers, many of whom began their careers with wirehouses, consultants said. Mayer continued. A Registered Investment Advisor RIA is a person or firm who advises high-net-worth individuals ria do trading investments and manages their portfolios. For reprint and licensing requests for this article, click here. A financial literacy and commentary show that features a number of this web page, financial experts, professional athletes, business owners and click.