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B/D or RIA?

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Apr 16, 2014 5:47 pm

I want to start up my own firm to do the following thing:

help the oversea investors to buy us private company ownership. I want to get paid by the investor by a fee or fee+carry structure.

I wonder if I should register as a B/D or a RIA?

very appreciate for any suggestion! Thank you!

Jun 26, 2014 2:17 pm

If your clients will all be international investors you may not need to register as either. I would reach out to an attorney to be sure but in general registration is meant to protect US or specific state residents.

If you only serve international clients, ideally high net worth international clients, you may be exempt from registration. You would be operating more like a hedge fund.

However, if you do have to choose the RIA choice is almost always easier.

Let me know if there’s anything else I can do to help.


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