Private Capital Management is a Registered Investment Advisor

What is an RIA?

A Registered Investment Advisor (RIA) is a professional advisory firm that offers personalized financial advice to its clients, and accepts a standard to act in the client’s best interest.

  • Many RIAs work with complex portfolios and address unique needs that require a highly customized level of investment management strategy and consultation.
  • Many RIAs provide advice and services for a fee based on a percentage of the client’s assets.
  • RIA firms are registered with the Securities and Exchange Commission or state securities regulators, are subject to the Investment Advisers Act of 1940, and have a fiduciary duty to act in the best interest of their clients.

Why might an independent RIA be a good choice for an investor?

  • RIAs generally have affiliations with a variety of firms who assist with tax planning, estate planning, money management and more. These affiliations allow them to help their clients with complex financial needs.
  • An RIA’s affiliations generally make available a wide universe of products and services to them, so that an RIA can tailor solutions to an individual client’s goals.
  • Some RIAs’ compensation is directly related to growing their clients’ assets, which can benefit both the advisor and client alike.


Registration does not imply a certain level of skill or training.  Many independent RIAs and other financial services professionals receive compensation for services in a variety of ways. It is the responsibility of each investor to determine which method of compensation offers the lowest total costs and best aligns the interests and needs of the investor with those of the investment professional chosen.

250 Steele Street, Suite 350 Denver, Colorado 80206  Phone: 303.370.0055
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