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Registered Investment Advisor

also referred to as: ria

1 statements across 1 episodes · 0 bullish · 0 bearish · 1 people on the record · first statement Feb 20, 2025 by Kevin Busque · across every show →

Everything said about Registered Investment Advisor, oldest first

Feb 20, 2025
Insight
Busque: Operating a full-stack 401(k) requires compliance across SEC, IRS, and DOL
“So if you wanted to be completely full stack or bundled solution, you also had to become an RIA. Becoming a registered investment advisor means you have to register with the SEC. The SEC has all of these different things. Now you have the SEC, the IRS, and the…”
Kevin Busque Feb 20, 2025 ▶ 38:32 Inside Guideline's mission to modernize 401(k)s | Kevin Busque (Co-founder and CEO)
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