Episode Description
From SEC registration and fiduciary duty to fee structures and client service, Kim and Emily finally answer the question listeners have been waiting for: what do they actually do? This episode pulls back the curtain on what it means to be a Registered Investment Adviser, and why that distinction should matter to anyone choosing a financial professional.
Episode 1: Meet Your Hosts
Episode Summary
Kim and Emily break down the anatomy of an RIA, starting with registration, regulation, and the publicly available documents that every investor should know how to find and read. They explain why your assets stay in your name at a custodian, why RIAs don’t sell products or earn commissions, and how the fiduciary standard—rooted in a single sentence from the Investment Act of 1940—keeps every decision pointed in the direction of what’s best for the client. They also walk through their own roles at Woodley Farra Manion, from compliance and operations to portfolio accounting and client relationship management, and close with a practical checklist for evaluating any financial adviser you are considering.
“When you’re putting your clients’ best interests first, it’s not transactional.”
Podcast Description
Financial Strides is your practical guide to financial wellness, hosted by Kim and Emily from Woodley Farra Manion Portfolio Management. Each episode tackles real money questions with clear, jargon-free conversations designed to fit your life and your pace, helping you build confidence in your financial decisions one step at a time.
Woodley Farra Manion does not provide tax, legal or accounting advice. The material discussed in this podcast series is informational in nature and is not intended to provide and should not be relied on for tax, legal or accounting advice. You should consult your own tax, legal and accounting advisors prior to taking action related to this information.