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Assistant Ria Firm Jobs in Baltimore, MD (NOW HIRING)

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Assistant Ria Firm information

What is the difference between Assistant Ria Firm vs Financial Advisor Assistant?

AspectAssistant Ria FirmFinancial Advisor Assistant
CredentialsTypically requires a FINRA Series 7 or 66 license, relevant financial certificationsOften requires similar licenses, with emphasis on client service and administrative skills
Work EnvironmentLocated within RIA firms, supporting financial advisors in investment managementWorks in financial advisory firms, assisting advisors with client interactions and administrative tasks
Industry UsageCommonly used in registered investment advisory firmsWidely used across financial planning and advisory firms

Both roles support financial professionals, often requiring similar licenses and working in similar environments. The main difference lies in the specific firm type—RIA firms versus broader financial advisory firms—though the responsibilities and credentials overlap significantly.

What are the key skills and qualifications needed to thrive as an Assistant at an RIA (Registered Investment Advisor) firm, and why are they important?

To thrive as an Assistant at an RIA firm, you need strong organizational skills, attention to detail, and a foundational understanding of financial services, often supported by a degree in finance or business. Familiarity with portfolio management systems, CRM software, and compliance platforms is typically required, and certifications like the Series 65 can be advantageous. Excellent communication, discretion, and client service orientation help you stand out in this client-facing, confidential environment. These skills and qualities ensure accurate administrative support, regulatory compliance, and a positive client experience, all of which are vital for a successful advisory practice.

What are some common challenges faced by an Assistant at a Registered Investment Advisor (RIA) firm, and how can they be addressed?

Assistants at RIA firms often manage multiple tasks simultaneously, from client communications to scheduling and document processing, which can make prioritization a challenge. Staying organized and proactive in communication is key to handling urgent requests and supporting advisors efficiently. Additionally, assistants must become familiar with industry regulations and firm-specific processes to ensure compliance and accuracy in client interactions. Building strong relationships with both the advisory team and clients helps facilitate smooth operations and contributes to a positive work environment.

What are Assistant RIA Firm roles?

Assistant RIA Firm roles typically involve providing administrative and operational support within a Registered Investment Advisor (RIA) firm. Responsibilities can include assisting financial advisors with client communications, preparing reports, managing schedules, processing paperwork, and maintaining compliance records. These assistants help ensure that the firm runs smoothly, allowing advisors to focus on client service and investment management. Strong organizational skills, attention to detail, and knowledge of financial industry regulations are valuable for success in this role.
What are the most commonly searched types of Ria Firm jobs in Baltimore, MD? The most popular types of Ria Firm jobs in Baltimore, MD are:
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Assistant Ria Firm jobs near you
Infographic showing various Assistant Ria Firm job openings in Baltimore, MD as of July 2026, with employment types broken down into 1% As Needed, 80% Full Time, 16% Part Time, 1% Temporary, and 2% Contract. Highlights an 98% Physical, 1% Hybrid, and 1% Remote job distribution.
Associate Wealth Advisor

Associate Wealth Advisor

Stratos Wealth Partners

Silver Spring, MD • On-site

$75K - $90K/yr

Full-time

Medical, Dental, Vision, Retirement, PTO

Posted 29 days ago

Job description

Associate Wealth Manager Woman-Owned Independent RIA • Metro DC Area • Hybrid Advisory Track • 3-5+ Years Experience • Series 65 Required or Obtainable • Fully remote applicants will be considered
WHAT MAKES THIS DIFFERENT
This is not a support role with an advisory title. This is a genuine advisor-track position at a woman-owned independent RIA where your work matters on day one - and where the firm is invested in your long-term growth.
• Conduct real client reviews from the start • Fiduciary, independent RIA - no sales quotas
• CFP® study fully supported • Serve clients through major life transitions
• Licensed advisory role (Series 65 required) • Direct mentorship from a 25-year CFP® veteran
• CDFA® designation encouraged & supported • Hybrid or remote schedule, Metro DC area
ABOUT THE FIRM
We are a woman-owned independent registered investment advisor in the Metro DC area, built on a simple conviction: that every client deserves a fiduciary partner who takes the time to truly understand their financial life. Our practice serves high-net-worth individuals, couples, and families - with particular depth in serving women and clients navigating significant life transitions, including divorce, the loss of a spouse, and retirement.
We are a small, intentional firm. That means the work you do here is visible, the relationships you build are real, and the career path in front of you is not theoretical.
THE OPPORTUNITY
We are growing and looking for a Wealth Advisor to join our team. This is a hybrid, in-office role (2-3 days per week in our Metro DC area office) for a financial planning professional with 3 to 5+ years of experience who is ready to step into advisory support responsibilities with a goal of moving to an independent advisory role over time. Fully remote applicants will be considered.
You will work directly with the advisor and clients - conducting annual reviews, supporting comprehensive financial plans, and completing required advisory disclosures. You will also support engagements in our life-transition financial planning practice, which serves clients navigating divorce and other major financial changes. We strongly encourage the CDFA® designation for this role and will fully support you in pursuing it.
If you have been working in client service or as an associate and are ready to be recognized - and compensated - as the advisor you are becoming, this role was built for you.
WHAT YOU'LL DO
Support Advisory Responsibilities
• Support advisor annual and periodic client reviews, including preparation, client-facing meetings, and follow-through execution.
• Complete rollover best interest disclosures and analyses in compliance with applicable regulatory requirements.
• Deliver financial planning recommendations across retirement, tax, investment, insurance, and estate planning.
• Support life-transition financial planning engagements, including divorce financial analysis and settlement scenario modeling.
• Ability to work effectively across multiple business lines to create a cohesive advisor and client experience.*
Financial Planning & Analysis
• Build and maintain comprehensive financial plans using financial planning software such as RightCapital or eMoney, including retirement projections, cash flow models, and scenario analyses.
• Gather and analyze client financial data to support advisory conversations and planning recommendations.
• Support tax planning analysis using appropriate tools.
• Coordinate with estate planning platforms and third-party providers on client planning needs.
Client Relationships & Operations
• Serve as a professional point of contact for clients alongside the Managing Partner.
• Prepare for and participate in client meetings; capture notes and drive action items to completion.
• Support account administration and onboarding in coordination with Schwab and/or Fidelity.
• Assist with compliance review submissions for marketing and client communications
COMPENSATION & BENEFITS
Compensation: $75,000-$90,000 base salary + merit-based bonus
medical, dental & vision • 401(k) • Paid time off • CFP® study support
WHAT WE'RE LOOKING FOR
Required
• 3 to 5+ years in financial services, wealth management, or financial planning. Client service backgrounds considered for candidates committed to the advisory track.
• Series 65 (Investment Adviser Representative) license currently held, or the commitment and ability to obtain within 90 to 120 days of hire.
• Experience with Schwab and/or Fidelity custodial platforms.
• Solid working knowledge of financial planning concepts, advisory process, and fiduciary principles.
• Strong written and verbal communication skills - you can translate complex financial ideas into language clients actually use.
• Self-directed and accountable; comfortable managing multiple responsibilities in a lean, growing practice.
Preferred
• Working towards CFP® designation or genuine interest in obtaining it - we will actively support your path to certification.
• Genuine interest in divorce financial planning or other life-transition specializations.
• Familiarity with financial planning software such as RightCapital or eMoney.
Licensing & Designation Requirements
• Series 65: Required. Must be obtained within 90 to 120 days of hire if not currently held.
• CDFA®: Strongly encouraged. The firm supports candidates in pursuing the Certified Divorce Financial Analyst® designation; training and designation costs supported by the firm.

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