RIA Advisory Group, LLC

RIA Advisory Group, LLC is a multi-team registered investment adviser that provides ongoing investment supervisory services to individuals (including high-net-worth clients), trusts, estates, corporations and other entities. The firm manages a mix of equities, fixed income, mutual funds, ETFs, REITs, insurance products and private placements, and does not offer standalone fee-based financial plans.

RIA constructs an Investment Objective Confirmation for each client to document goals, risk tolerance and time horizon, and typically manages accounts on a discretionary basis using charting, fundamental and technical analysis with both long- and short-term trading strategies. Accounts are reviewed on a regular schedule and the firm aggregates block trades and works with major custodians to execute transactions, while permitting client-directed brokerage when requested.

Distinctive features include formal affiliations with legal and accounting professionals and the operation of affiliated technology and research businesses that provide services (such as block trading support, fee billing and research) to the adviser, with those service fees paid by the firm. The adviser also has a material number of representatives who are licensed insurance agents and owners of insurance agencies, and may offer commissionable insurance or mortgage products alongside advisory services, a disclosed potential conflict of interest.