Ria Advisors

Registered investment adviser · Houston, TX · CRD #150661

Form ADV data as of 2026-09-01

Regulatory assets

$1.84 billion

Total accounts

3,969

Employees

Disclosure events

Firm details

Website: https://twitter.com/ratliff_danny
Telephone: 281-501-1791
SEC file number: 801-77832
Most recent Form ADV filing: 2026-07-16
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$1.76 billion
Non-discretionary regulatory assets under management	$76.2 million
Total regulatory assets under management	$1.84 billion
Discretionary accounts	3,862
Non-discretionary accounts	107
Total accounts	3,969
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	17
Employees performing investment advisory functions (including research)	17
Employees who are registered representatives of a broker-dealer	0
Employees registered as investment adviser representatives with a state	12
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	6
Firms or persons who solicit advisory clients on the firm's behalf	1

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	Yes
Client funds and securities held in the firm's custody	$1.24 billion
Clients for whom the firm has custody	1,323
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	1

How the firm is compensated

A percentage of assets under managementSubscription fees (for a newsletter or periodical)Fixed fees (other than subscription fees)

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesEducational seminars/workshops

Affiliated related persons

Other investment adviser (including financial planners)Insurance company or agency

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends brokers or dealers to clients
Compensates a non-employee for client referrals
Provides employee compensation specifically for obtaining clients

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	801	$369.5 million
High net worth individuals	434	$1.41 billion
Business development companies	1	$103,737
Pension and profit sharing plans (not the participants or government plans)	18	$11.6 million
Other investment advisers	113	$45.8 million